Chief Compliance Officer / AGC

Danos Group; United States; On-site; USD 120,000 - 150,000; Full time

Job summary

An established industry player is seeking a Chief Compliance Officer/Associate General Counsel to join their dynamic U.S. team. This pivotal role involves designing and executing compliance frameworks tailored to the unique regulatory obligations of registered investment advisers and companies. The ideal candidate will possess over a decade of legal or compliance experience within the financial services sector and a strong understanding of U.S. securities laws. If you thrive in a start-up environment and are passionate about compliance, this opportunity offers a chance to make a significant impact in a rapidly evolving field.

Qualifications

• 10+ years of legal or compliance experience in financial services.
• Strong knowledge of U.S. securities laws and regulations.

Responsibilities

• Design and oversee compliance frameworks for investment advisers and companies.
• Advise executive leadership on compliance strategies and risk management.

Skills

Compliance Management

Legal Expertise

Risk Management

Regulatory Knowledge

Education

Juris Doctor

Job description

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Our client, a global investment manager, is looking to hire a Chief Compliance Officer/ Associate General Counsel to their US team. The ideal candidate will have experience working with 40 Act funds and the ability to operate in a start-up environment.

Responsibilities:

• Design, execute, and oversee robust compliance frameworks tailored to the unique regulatory obligations of registered investment advisers (RIAs), registered investment companies (RICs), and issuers, ensuring full conformity with U.S. federal securities laws, including but not limited to the Securities Act of 1933, the Investment Advisers Act of 1940, and the Investment Company Act of 1940.
• Oversee adherence to the organization’s Code of Ethics, investigating and resolving any ethical or compliance concerns in line with policy.
• Partner with executive leadership to advise on compliance strategies and operational processes that support regulatory alignment.
• Proactively identify potential compliance risks, implement measures to minimize exposure, and provide strategic input on risk management approaches.
• Ensure accurate and timely preparation and filing of required regulatory documents and disclosures under the applicable laws, including those mandated by the SEC and other regulatory bodies.

Requirements

• 10+ years of legal or compliance experience within the financial services industry
• Juris Doctor and Bar admission required
• Strong knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, the Securities Act of 1933 and other applicable securities laws and regulations (including FINRA and SEC rules and regulations).
• Proven ability to manage compliance programs and regulatory filings for in scope US entities.

Seniority level

• Seniority level

  Director

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

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