Chief Compliance Officer Jobs

The Chief Compliance Officer (“CCO”) is responsible for providing leadership on compliance and regulatory matters. This role includes managing a compliance team to maintain and enhance the overall compliance program and to ensure compliance with SEC, CFTC and other applicable rules and regulations. The CCO provides expertise and guidance in setting the direction for the compliance program and is responsible for all day-to-day compliance and regulatory matters. The CCO will report to the General Counsel while being ultimately responsible to the firm’s management committee, which includes the firm’s Managing Partners.

Primary Responsibilities:

• Assessing and continuously enhancing a comprehensive compliance program

• Overseeing and managing a strong compliance team in the execution of their duties

• Reviewing and analyzing regulatory developments and trends and collaborating closely with legal, trading, operations, and investor relations to determine potential impact and applicability

• Providing advice on new business initiatives

• Ensuring compliance with applicable laws and regulations by coordinating input from a broad array of external and internal experts

• Representing the firm in meetings and discussions with regulators, existing and prospective investors, and other third parties

• Providing advice and training to management and employees regarding applicable securities rules, regulations and firm policies

Candidate Profile:

• Minimum of 12 years of a combination of legal, compliance and/or regulatory experience working at an investment adviser, regulator, self-regulatory organization (SRO) and/or law firm

• JD degree preferred