Chief Compliance Officer — Hands-On Regs Leader

Select Recruiting Group, LLC; King of Prussia (PA); Sur place; USD 180 000 - 260 000; Plein temps

Résumé du poste

Select Recruiting Group, LLC is seeking a hands-on Chief Compliance Officer to lead and own the firm's compliance program in King of Prussia, PA. You will partner with senior leadership across investment, operations, finance and distribution to ensure regulatory compliance and effective risk management.

The successful candidate will oversee the annual reviews, regulatory filings, and exams while managing outside counsel and third-party resources. Strong leadership and communication are essential.

Qualifications

• Bachelor's degree in business, finance, law, regulatory compliance, or related field.
• Experience as a CCO, Deputy CCO or senior compliance leader.
• Deep knowledge of the Investment Advisers Act of 1940 and securities regulations.
• Experience with Form ADV, SEC exams, and regulatory filings.
• Strong communication, judgment, and executive presence.

Responsabilités

• Lead and continuously enhance the firm's compliance program under Rule 206(4)-7.
• Maintain compliance manuals, ethics codes, personal trading and certifications.
• Oversee annual compliance reviews, monitor regulatory developments, implement enhancements.
• Manage regulatory filings and SEC examinations, and interactions with outside counsel.
• Review communications for compliance including marketing materials and RFPs.
• Coach and supervise outside testing providers and ensure remediation.

Connaissances

10+ years of compliance experience

CCO or Deputy CCO experience

Securities law knowledge (Investment 1

Formation

Bachelor's degree in business, finance, law, regulatory compliance, or related field

Juris Doctor (preferred)

IACCP or related compliance designation (a plus)

Description du poste

Select Recruiting Group, LLC is seeking a hands-on Chief Compliance Officer to lead and own the firm's compliance program in King of Prussia, PA. You will partner with senior leadership across investment, operations, finance and distribution to ensure regulatory compliance and effective risk management.

The successful candidate will oversee the annual reviews, regulatory filings, and exams while managing outside counsel and third-party resources. Strong leadership and communication are essential.