Job DetailExperience Level ExecutiveDegree Type Bachelor of Science (BS)Employment Full TimeWorking Type HybridJob Reference Salary Type AnnuallyIndustry Private Equity;Venture Capital and Private EquitySelling Points Lead compliance strategy at a global investment firm with a dynamic team. Drive impactful initiatives ensuring regulatory adherence across jurisdictions. Foster professional growth in a collaborative, innovative environment.Job DescriptionChief Compliance Officer OverviewLead the compliance function at a dynamic investment advisory firm, ensuring adherence to regulatory standards and fostering a culture of integrity.Oversee an established compliance program with a global presence, supporting offices in Europe, Asia, and the US.Collaborate with senior management to align compliance strategies with organizational goals and regulatory requirements.Provide leadership to a dedicated compliance team, ensuring consistent practices across jurisdictions.Develop and refine compliance policies to address evolving business activities and regulatory landscapes.Promote awareness and understanding of compliance obligations through training and education programs.Drive initiatives to enhance processes, controls, and the overall compliance infrastructure.Ensure the firm's compliance framework aligns with international standards and local requirements.Chief Compliance Officer Key Responsibilities & DutiesLead the firm's compliance program, maintaining and enhancing policies addressing investment strategies and regulatory obligations.Monitor regulatory changes affecting the investment advisory industry and update policies accordingly.Oversee regulatory filings, disclosures, and interactions with regulatory bodies such as the SEC.Conduct compliance risk assessments and audits, identifying vulnerabilities and implementing corrective actions.Manage material non-public information (MNPI) and trading controls across investment strategies.Advise senior management on compliance matters, providing pragmatic guidance and fostering collaboration.Coordinate compliance activities across international offices, ensuring consistent practices and local adherence.Develop and deliver global compliance training programs to promote understanding of obligations and expectations.Chair the Compliance Committee, overseeing the program's effectiveness and promoting ethical conduct.Chief Compliance Officer Job RequirementsBachelor’s degree in a relevant field; JD with bar admission is advantageous.Minimum 8 years of compliance experience in investment advisory or financial services; 20 years preferred.Proven leadership experience in compliance roles, with multi-jurisdictional oversight preferred.In-depth knowledge of SEC regulations and the Investment Advisers Act of 1940.Strong analytical, organizational, and communication skills, with attention to detail and ability to prioritize.Ability to foster a culture of accountability and integrity within the compliance team.Experience with compliance considerations across public and private investment strategies.Capability to develop and deliver compliance training programs globally.Proactive, strategic, and solution-oriented approach with high integrity and professionalism.
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