Role OverviewA U.S.-based, SEC-registered asset management firm is seeking an experienced Chief Compliance Officer to lead its end-to-end compliance function across equities, fixed income, and futures.
What You Will Do
Own and administer the firm’s compliance program under the Investment Advisers Act of 1940, manage regulatory filings, conduct annual compliance risk assessments, and lead SEC examinations.
Why It Might Be a Fit
This role plays a critical part in supporting the firm’s next phase of growth, including expansion of U.S. and global client acquisition.
Requirements
- 10+ years of compliance experience at an SEC-registered RIA (prior CCO experience preferred)
- Deep knowledge of U.S. SEC regulations and ability to independently manage regulatory interactions
- Native-level English communication skills (written and verbal)
- Strong compliance judgment, leadership, and policy-writing capabilities
- Business-oriented, solutions-driven mindset
Benefits
- A full benefit
- PTO
- Health and Dental insurance
- 401K
- Bonus
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