Chief Compliance Officer (Asset Management)

Second Line Advisors; New York (NY); On-site; USD 275,000 - 320,000; Full time

Job summary

An exciting tech-driven asset manager in Downtown NYC is seeking a Chief Compliance Officer to lead compliance initiatives and regulatory management. This pivotal role offers the chance to shape a comprehensive compliance program while working closely with C-suite executives. The ideal candidate will have over a decade of experience in compliance, particularly within registered investment advisers, and will thrive in a dynamic, venture-backed environment. This is an opportunity to make a significant impact in a fast-paced setting, ensuring adherence to regulations while fostering a culture of compliance across the organization.

Benefits

Equity in the firm

Full benefits package

Qualifications

• 10+ years in compliance with registered investment advisers.
• Experience with SEC regulations and compliance programs.

Responsibilities

• Own all compliance matters and oversee compliance program.
• Conduct risk assessments and manage regulatory examinations.
• Lead compliance training and oversee regulatory filings.

Skills

Compliance Management

Regulatory Compliance

Risk Assessment

Audit Management

Stakeholder Engagement

Education

Bachelor's Degree

Juris Doctor

Job description

About the Company - Our client is an exciting, tech-driven asset manager based in Downtown NYC to find their next Chief Compliance Officer (CCO) — a critical leadership hire as they scale. As Chief Compliance Officer, you'll be the primary point of contact for leading all investment advisory compliance and regulatory initiatives. This role offers the opportunity to build upon and refine a comprehensive compliance program in a dynamic, venture-backed company.

About the Role - We are looking for a candidate who has a proven track record of progressive growth as a compliance professional and a strong understanding of the compliance and regulatory landscape for registered investment advisers. You will be responsible for the full lifecycle of compliance management, including developing and implementing robust programs, conducting risk assessments and audits, fostering a compliance culture, and advising the business on new initiatives and rule changes. This role blends strategic oversight with hands-on execution, requiring a leader who is comfortable developing best practices and diving into the details. You'll report directly to the CEO and be central to our compliance program.

Responsibilities

• Own all compliance matters and initiatives.
• Oversee and enhance the existing compliance program, ensuring adherence to all applicable regulations (e.g., the Advisers Act, SEC rules, state securities laws).
• Conduct comprehensive risk assessments, internal audits, and manage regulatory examinations.
• Develop, maintain and update the compliance calendar, compliance manual, and policies.
• Lead compliance training for employees, manage employee compliance, and conduct an annual compliance review.
• Oversee the preparation and submission of and submit federal and state regulatory filings (e.g., ADV, U4 / U5, 13F, 13H, Form N-PX, etc.).
• Supervise the review and approval of marketing materials and client communications.
• Support client onboarding and collaborate with the investment team to monitor trading activity, best execution, and error / incident management.
• Collaborate with internal and external legal counsel on regulatory matters and corporate transactions.
• Review both operational and vendor due diligence and participate in due diligence presentations with external parties.

Qualifications

• 10+ years of experience in a compliance role with a registered investment adviser, with 10-15 years overall compliance experience preferred.
• Experience working with C-suite executives and interfacing with internal and external stakeholders.
• A deep understanding of RIA compliance, including the Investment Advisers Act of 1940, and broader SEC guidelines and developments.
• Proven ability to develop and implement comprehensive compliance programs and build a culture of compliance across teams.
• Experience managing SEC examinations and regulatory inquiries.
• Bachelor's degree required; Juris Doctor and bar admission in good standing or other relevant advanced degree or certification strongly preferred.
• Experience at a fintech startup or a similar lean organization strongly preferred.
• You are prepared to commute to the main office in New York City three or more days a week.

Pay range and compensation package

Salary of $275,000-320,000 plus equity in the firm; full benefits.