Chief Compliance Officer

Cardea Group; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

An established industry player is seeking a dedicated Chief Compliance Officer (CCO) to enhance their compliance framework. This pivotal role involves overseeing SEC-related filings, managing compliance services, and providing strategic guidance on regulatory matters. The ideal candidate will have extensive experience in regulatory compliance within the investment management sector, ensuring adherence to industry standards and best practices. Join a smart, approachable team in a dynamic environment where your contributions will shape compliance initiatives and influence strategic decisions. This position offers the opportunity to work closely with executive leadership and make a significant impact on the firm's growth and compliance integrity.

Qualifications

• 7+ years of experience in regulatory compliance within investment management.
• Strong familiarity with SEC regulations and compliance for private funds.

Responsibilities

• Oversee SEC-related filings and coordinate compliance reviews.
• Provide strategic compliance guidance to senior leadership.

Skills

Regulatory Compliance

Project Management

Organizational Skills

Education

Bachelor's degree in business, finance, law, or related field

JD or advanced degree

Tools

Compliance Manual

SEC Filings

Job description

Our client, a multi-billion dollar private fund with several investment products, is seeking a bright and dedicated CCO to join their team. This new hire will help in managing, augmenting, and implementing the firm’s compliance framework to ensure adherence to all relevant regulations and industry best practices. Reporting directly to the executive leadership team, the CCO will act as the in-house expert on regulatory matters, oversee external compliance service providers, and work closely with investors, operational teams, and outside counsel.

Key Points:

• #1 seat within legal and compliance offering leadership responsibilities and the ability to influence strategic decisions
• Fund has stable assets and is growing in AUM due to performance and strong interest in their new product offerings
• Ability to step into a newly recreated role overseeing an existing compliance program
• Team is smart, dedicated, approachable, and easy-going
• Position can be located in New York City or Palm Beach, FL

Key Responsibilities:

• Oversee all SEC-related filings, including Form ADV, Form PF, and other applicable disclosures.
• Coordinate annual compliance reviews, mock audits, and regulatory examinations.
• Maintain and update the firm’s Compliance Manual in response to regulatory changes and firm-specific needs; oversee and administer the firm’s Code of Ethics program.
• Manage outsourced compliance services (currently provided by ACA) and ensure seamless collaboration.
• Provide strategic guidance to senior leadership on potential compliance risks and evolving regulatory requirements.
• Ensure all investment transactions are in compliance with the underlying Fund LPAs and SMAs via and Observation role on the investment committee.
• Act as a liaison with investors on all compliance-related inquiries and disclosures.
• Review and approve all marketing materials and investor communications for regulatory compliance.
• Stay up to date on SEC guidance, industry trends, and best practices, and communicate updates to relevant teams; conduct compliance trainings.
• Collaborate with the CFO and other senior partners to align compliance initiatives with broader strategic goals.
• Work with external legal counsel to address complex transactions or regulatory matters.

Qualifications:

• Bachelor’s degree in business, finance, law, or related field required; JD or advanced degree strongly preferred.
• 7+ years of relevant experience in regulatory compliance, legal, or a similar role within the investment management industry.
• Strong familiarity with SEC regulations, including Investment Advisers Act and compliance requirements for private funds.
• Experience with multiple fund structures (credit, private equity-style funds, open-ended vehicles, specialized asset classes) is highly desirable.
• Exceptional understanding of regulatory frameworks and best practices in investment management.
• Strong organizational and project management skills, with the ability to handle multiple initiatives simultaneously.