Chief Compliance Officer – Funds & Regulatory Leader

Cardea Group; Tampa (FL); On-site; USD 180,000 - 300,000; Full time

Job summary

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

The role oversees registered funds, the Investment Company Act requirements, and ongoing regulatory examinations, with a strong focus on risk management and governance.

This senior leadership position requires excellent judgment and the ability to build relationships across legal, finance, and operations.

Qualifications

• Over 10 years of compliance experience in investment management.
• Deep knowledge of the Investment Company Act of 1940 and the Advisers Act.
• Experience leading teams and interfacing with senior management and boards.
• CCO experience preferred or readiness to step into the role.
• Excellent written and verbal communication.

Responsibilities

• Lead and administer the firm’s compliance program with policies and periodic reviews.
• Provide senior oversight for registered fund business and IC Act compliance.
• Serve as primary contact with the SEC and regulators for examinations and inquiries.
• Oversee Form ADV filings and Exchange Act reporting.
• Partner with leadership on enterprise risk management and escalation of regulatory risks.
• Oversee private fund compliance and related requirements.
• Lead the compliance team across marketing, trading, and regulatory matters.
• Oversee Code of Ethics, proxy voting, training, and reporting to governance bodies.
• Present compliance reporting to the Board and key committees.
• Collaborate with legal, finance, technology and other functions on regulatory matters.
• Monitor regulatory developments and evolve the framework accordingly.

Skills

Leadership

Regulatory knowledge

Strategic thinking

Stakeholder communication

Risk management

Job description

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

The role oversees registered funds, the Investment Company Act requirements, and ongoing regulatory examinations, with a strong focus on risk management and governance.

This senior leadership position requires excellent judgment and the ability to build relationships across legal, finance, and operations.