Chief Compliance Officer

Alexander Chapman; Greenwich (CT); On-site; USD 100,000 - 120,000; Full time

Job summary

A Connecticut-based private equity firm is seeking a Chief Compliance Officer to lead their compliance program. The ideal candidate will have a Juris Doctor and a robust compliance background in asset management. Key responsibilities include overseeing regulatory filings, ensuring compliance, and maintaining the firm's ethical standards.

Benefits

Medical insurance

Vision insurance

Paid maternity leave

Child care support

Pension plan

Paid paternity leave

401(k)

Qualifications

• Previous leadership experience in compliance roles is essential.
• Expertise in regulatory compliance for asset management firms is required.

Responsibilities

• Oversee regulatory filings ensuring compliance with the Investment Advisers Act.
• Review and approve marketing materials for regulatory compliance.
• Implement and enforce the firm’s Code of Ethics.

Skills

Leadership

Compliance knowledge

Education

Juris Doctor

Job description

Connecticut based private equity firm is looking for a Chief Compliance Officer to oversee their compliance program.

Ideal candidate holds a juris doctor and has held previous leadership positions at alternative asset management firms.

• Oversee timely and accurate regulatory filings, including Form ADV and Form PF, in compliance with the Investment Advisers Act of 1940 and other applicable regulations.
• Review and approve all marketing materials to ensure they are accurate, not misleading, and fully compliant with SEC and other regulatory requirements.
• Maintain, implement, and enforce the firm’s Code of Ethics, promoting a culture of compliance and ensuring adherence to legal and ethical standards across the organization.

Required: Juris Doctor (Candidates without a JD may be considered for a Deputy CCO position instead).

Work Module: 4 days on-site.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Legal

• Industries

  Venture Capital and Private Equity Principals, Investment Management, and Investment Banking

Referrals increase your chances of interviewing at Alexander Chapman by 2x

Inferred from the description for this job

Medical insurance

Vision insurance

Paid maternity leave

Child care support

Pension plan

Paid paternity leave

401(k)

Get notified about new Compliance Officer jobs in Greenwich, CT.

Sr. Manager, Compliance & Sustainability

New York, NY $100,000.00-$120,000.00 4 hours ago

MD Compliance & Regulatory Risk Assessment

Insurance Compliance Manager - Agency & Partnership

White Plains, NY $110,000.00-$140,000.00 1 month ago

Ridgefield, CT $115,000.00-$181,000.00 2 weeks ago

Pearl River, NY $102,900.00-$171,500.00 20 hours ago

Swap Dealer Regulatory Governance Officer

Bethpage, NY $123,379.00-$202,694.00 4 days ago

Senior DBE Compliance Manager (Heavy Civil Construction)

Melville, NY $120,000.00-$145,000.00 1 month ago

White Plains, NY $110,000.00-$160,000.00 1 year ago

Divisional Director – OPWDD Services (NYC/Long Island Locations)

Associate Director : Mental Health-ACT Team

Bronx, NY $90,000.00-$95,000.00 2 days ago

Associate Director of Clinical Pharmacy Services

Senior Manager of Accounting & Compliance

Director, Global Rewards & People Operations

Director, Global Rewards & People Operations

Norwalk, CT $120,000.00-$140,000.00 2 months ago

New York, NY $130,000.00-$145,000.00 23 hours ago

Assistant Director of Student Financial Services

Paramus, NJ $70,000.00-$80,000.00 3 days ago

Branch Manager - Southern CT - Westchester District

Tax Senior Manager-Financial Services - Global Compliance and Reporting - Real estate-EDGE

Stamford, CT $112,400.00-$256,900.00 1 week ago

Greenwich, CT $200,000.00-$400,000.00 1 day ago

East Hills, NY $80,000.00-$130,000.00 6 days ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.