Chief Compliance Officer

Cardea Group; Tampa (FL); On-site; USD 300,000 - 350,000; Full time

Benefits offered by this job

Competitive all-in compensation

Job summary

Cardea Group in Tampa Bay Area, FL is seeking an experienced Chief Compliance Officer to lead the firm’s compliance program and interact with executive management and the Board.

The role oversees the registered funds business, private fund compliance, and regulatory matters, with a seat at the leadership table. Significant experience with the Investment Company Act and Advisers Act is required.

Qualifications

• 10+ years of investment management compliance experience.
• Deep knowledge of the Investment Company Act of 1940.
• Strong knowledge of the Investment Advisers Act of 1940.

Responsibilities

• Lead and administer the firm’s compliance program, including policies and procedures, testing, annual reviews, monitoring, and enhancements.
• Provide senior oversight for registered fund business and related regulatory requirements.
• Serve as primary contact with the SEC and regulators, including examinations and responses.
• Oversee regulatory filings such as Form ADV and Exchange Act filings.
• Partner with senior leadership on the firm’s risk management framework.
• Lead private fund compliance including offering requirements, investor eligibility, conflicts, fees and side letters, Form PF.
• Manage the compliance team across marketing, trading, regulatory matters, training and due diligence.
• Oversee Code of Ethics, proxy voting, training programs and marketing review.
• Prepare and present compliance reporting to the Board and governance committees.
• Collaborate with investment, legal, finance, technology and business functions to guide regulatory matters.
• Monitor developments and evolve the framework accordingly.

Skills

Investment compliance

Regulatory affairs

Leadership

Communication

Risk management

Job description

Chief Compliance Officer (Tampa Bay Area, FL):A leading investment management firm is seeking an experienced compliance executive to serve as Chief Compliance Officer. This is a senior leadership role overseeing the firm’s compliance program, with significant exposure to executive management and the Board.

Keys to This Hire

• Opportunity to step into a CCO role at a growing fund to oversee the registered funds business and work closely with senior management.
• Collaborative, entrepreneurial, solutions-oriented culture where the CCO will have a meaningful voice. Proactive communication is essential.
• Strong executive presence and judgment are important given the role offers a seat at the table and interaction with senior management, the Board, and regulators.
• Lead and manage an experienced team of compliance professionals who are highly regarded across the firm.

Responsibilities

• Lead and administer the firm’s compliance program, including policies and procedures, periodic testing, annual reviews, regulatory monitoring, and ongoing enhancements.
• Provide senior compliance oversight for the firm’s registered fund business and related Investment Company Act requirements.
• Serve as a primary point of contact with the SEC and other regulators, including leading regulatory examinations, inquiries, and responses.
• Oversee key regulatory filings and reporting, including Form ADV and applicable Exchange Act filings.
• Partner with senior leadership on the firm’s broader risk management framework, including identifying, assessing, monitoring, and escalating regulatory and enterprise risks.
• Oversee private fund compliance, including applicable offering requirements, investor eligibility, conflicts, fees and expenses, side letters, and Form PF.
• Lead and manage the compliance team across marketing compliance, trading and investment compliance, regulatory matters, training, and due diligence.
• Oversee the Code of Ethics, proxy voting, employee compliance, marketing review, and compliance training programs.
• Prepare and present compliance reporting to the Board and provide compliance leadership across key governance committees.
• Partner closely with investment, legal, finance, technology, and other business functions to provide practical guidance on regulatory and compliance matters.
• Monitor regulatory developments and ensure the compliance framework evolves appropriately with changes in the business and regulatory environment.

Qualifications

• 10+ years of relevant investment management compliance experience, with 12 to 15+ years preferred.
• Significant experience with registered investment companies and deep knowledge of the Investment Company Act of 1940 is required.
• Strong knowledge of the Investment Advisers Act of 1940 and the regulatory framework applicable to SEC-registered investment advisers.
• Prior experience as a CCO is preferred, although senior compliance professionals with the experience and readiness to step into the CCO role will be considered.
• Management experience is strongly preferred.
• Experience with complex or innovative investment products and strategies, including derivatives and other non-traditional exposures, is beneficial.
• Private fund compliance experience is helpful but not required. Candidates with strong registered fund expertise can develop this knowledge in the role.
• Excellent written and verbal communication skills, sound judgment, and the ability to build effective relationships across investment and business functions.

Compensation: $300-350k base; competitive all-in package.

Job Reference #3679499