Chief Compliance Officer (CCO)
About the Company
A well-established alternative investment manager.
Industry
Investment Management
Type
Privately Held
About the Role
The Company is in search of a Chief Compliance Officer to spearhead its compliance program, ensuring adherence to SEC and CFTC/NFA regulatory obligations. This pivotal role involves leading the design, implementation, and administration of the compliance program, managing all regulatory obligations, overseeing ethical standards, and serving as the primary liaison for regulatory examinations and inquiries. The successful candidate will be responsible for a wide range of tasks, including but not limited to, regulatory oversight, compliance strategy, policy development, and the enhancement of the compliance program. Applicants for the Chief Compliance Officer position at the company must have a Bachelor's degree and a minimum of 10 years' of compliance experience in the asset management industry. The role requires a candidate with a strong background in SEC and CFTC/NFA regulatory frameworks, including hands-on experience with various regulatory filings and compliance. The ideal candidate will have previously held a senior compliance position at a registered investment adviser, CPO, CTA, or similar alternative investment firm. Key skills include excellent communication, the ability to manage multiple priorities, and a hands-on leadership style. The Chief Compliance Officer will also be expected to monitor regulatory changes, update compliance policies, and deliver firm-wide compliance training.
Functions
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