Chief Compliance Officer (CCO)
About the Company
An investment management organization seeking an experienced attorney and compliance professional.
Industry
Investment Management
Type
Privately Held
About the Role
The Company is in search of a General Counsel and Chief Compliance Officer to oversee its legal and regulatory compliance functions. The successful candidate will be the primary legal advisor, responsible for the compliance program of a registered investment adviser. This role demands a professional who can operate at both strategic and execution levels, providing guidance on significant legal and regulatory matters while being directly involved in day-to-day compliance activities. Key responsibilities include maintaining and enhancing compliance policies, leading the annual review of the compliance program, managing regulatory filings, and overseeing interactions with the SEC. The role also involves monitoring regulatory developments, conducting compliance training, and providing legal and commercial advisory on a wide range of matters. Applicants must have a Juris Doctor (JD) from an accredited law school, be an active member of at least one U.S. State bar, and have a minimum of 8 years' relevant legal and/or compliance experience in the financial services sector. A deep understanding of the Investment Advisers Act of 1940, SEC requirements, and investment adviser fiduciary standards is essential. The ideal candidate will have a strong background in commercial contract drafting and negotiation, as well as direct experience in managing SEC examinations. The role requires the ability to communicate effectively with a diverse range of stakeholders and to operate independently with a hands-on approach. Preferred experience includes a background that spans both General Counsel and Chief Compliance Officer roles.
Functions
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