Chief Compliance Officer, GAM US

Bank N.A.; New York (NY); On-site; USD 180,000 - 300,000; Full time

Job summary

Bank N.A. in New York seeks a Chief Compliance Officer to lead the regulatory compliance program for its U.S. registered investment adviser (RIA). You will design, implement and govern policies, controls and reporting across advisory activities and funds.

As the designated CCO, you will coordinate risk assessments, monitoring, testing and regulatory filings, partnering with Legal, Risk and business leaders to meet SEC requirements and fiduciary obligations.

Job description

Application Deadline:
11/19/2026

Address:
151 W 42nd Street

Job Family Group:
Audit, Risk & Compliance

Leads the development, implementation, maintenance, and administration of the regulatory compliance program for a U.S. registered investment adviser (RIA). Oversees the establishment of a comprehensive compliance framework in connection with the entity's SEC registration and the development and launch of investment products and funds. Provides regulatory compliance advice and oversight relating to investment advisory activities, fund operations, and related business initiatives.

Acts as the designated Chief Compliance Officer of the RIA and is responsible for administering its compliance policies and procedures in accordance with applicable SEC requirements. Coordinates and performs regulatory risk assessments, monitoring, testing, and surveillance activities to ensure the compliance program remains effective and aligned with applicable regulatory requirements and the BMO Compliance Program. Works with business/group management, Legal, Risk and other internal partners to ensure regulatory, corporate, and fiduciary obligations are met. Advises on the implications of regulatory developments, new investment products and business initiatives, and oversees the implementation of appropriate compliance policies, procedures, and controls.

Contributes to business/group results by providing independent compliance oversight, effectively challenging business activities and making recommendations that support the Bank's ability to manage regulatory compliance risk, meet regulatory obligations, and achieve business objectives.

Leads the development and implementation of the RIA's regulatory compliance program, including policies, procedures, controls, governance arrangements and compliance monitoring and testing activities.

Leads the compliance workstream in connection with the RIA's SEC registration, including the preparation and review of Form ADV, regulatory disclosures and related compliance documentation.

Serves as the designated Chief Compliance Officer of the RIA pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940.

Oversees the ongoing administration and effectiveness of the RIA's compliance program, including required annual compliance reviews, regulatory filings, monitoring, testing, issue management, and reporting.

Provides advice and influences business/group management on the implementation of solutions aligned with regulatory requirements and risk appetite, based on an understanding of business operations and stakeholder needs.

Acts as a subject matter expert on U.S. investment adviser regulation, including fiduciary obligations, conflicts of interest, custody, marketing, personal trading, recordkeeping, and other applicable SEC requirements.

Provides compliance advice and oversight in connection with the structuring, development, and launch of investment funds, including products offered or registered under the Securities Act of 1933 and a fund registered under the Investment Company Act of 1940.

Consults on new products, investment strategies, services, distribution arrangements, and automated systems to ensure compliance requirements are appropriately incorporated into business initiatives.

Oversees the development and implementation of compliance policies and controls applicable to investment management activities, including portfolio management, trading, allocation, best execution, valuation, conflicts of interest and client disclosures.

Advises on applicable investment fund compliance requirements, including fund governance, disclosure, investment restrictions, service-provider oversight, and ongoing regulatory reporting.

Supports the establishment and ongoing operation of compliance arrangements for funds subject to the Investment Company Act of 1940, including coordination with fund boards, fund compliance personnel, and external service providers, as applicable.

Makes recommendations to senior leaders on strategy, new initiatives and regulatory risk management, based on an in-depth understanding of the business/group.

Leads and participates in the design, implementation, and management of core compliance processes, including regulatory risk assessments, monitoring, testing, surveillance and reporting.

Conducts and effectively challenges risk assessments for business/group and assists in identifying and implementing appropriate compliance controls.

Performs and oversees monitoring and testing activities to assess the design and operating effectiveness of regulatory compliance controls.

Identifies, assesses, effectively challenges, and oversees the satisfactory resolution of compliance issues, including the development and validation of appropriate remediation plans.

Elevates material compliance issues and regulatory risks to business/group management, senior Compliance leadership, and relevant governance committees for prompt resolution.

Develops and maintains compliance manageme