Deputy Chief Compliance Officer

International Erosion Control Association; New York (NY); On-site; USD 250,000 - 450,000; Full time

Job summary

Deputy Chief Compliance Officer position available in a multibillion-dollar investment firm with offices in New York City or the San Francisco Bay Area. The role leads the development of a comprehensive compliance program, partnering with the CCO and a legal team to implement policies, training, and regulatory filings.

Responsibilities span policy creation, testing, investor due diligence, and preparation for a hedge fund launch, with global AML/KYC coordination and strong interaction with

Qualifications

• 8-15 years of relevant compliance experience including private funds.
• Strong knowledge of investment adviser regulation and private fund compliance requirements.
• Experience with policy reviews, regulatory filings, marketing review, training, and investor due diligence.
• Hedge fund experience is a plus, private markets background is desirable.
• JD helpful, but not required.
• Strong judgment, clear communication, and ownership of day-to-day work.
• New York City or Menlo Park in-person work; later hours for West Coast overlap.

Responsibilities

• Partner with the CCO on day-to-day management and ongoing development of the firm’s compliance program.
• Review, update, and maintain compliance policies and procedures; implement enhancements after mock examinations.
• Support compliance testing, annual reviews, mock examinations, and regulatory examination readiness.
• Develop and deliver annual compliance training and serve as a resource for employee questions.
• Review marketing and LP materials and respond to investor due diligence questionnaires.
• Participate in operational due diligence discussions with investors.
• Prepare and coordinate regulatory filings, including Form ADV and Form PF.
• Develop the compliance framework for planned hedge fund launch.
• Coordinate AML/KYC workflows with an expanding international team.
• Collaborate with internal stakeholders and advisers on regulatory developments and special projects.

Skills

Compliance leadership

Private funds experience

Regulatory filings

Policy development

Education

Juris Doctor (JD) helpful

Job description

Deputy Chief Compliance Officer

Location: San Francisco Bay Area OR New York, New York

Our client is a multibillion-dollar alternative investment firm seeking a Deputy Chief Compliance Officer to play a significant role in building and advancing its compliance program. The firm brings together experienced professionals from leading investment platforms and combines institutional resources with the opportunity to help shape a newer, expanding business.

The Deputy CCO will partner closely with the CCO, work alongside a compliance associate and an experienced legal team, and take ownership of a broad range of core responsibilities.

The Opportunity

• Help build the program: Contribute to foundational policies, processes, and controls as the firm adds strategies and expands its capabilities.
• Work closely with leadership: Serve as a key partner to the CCO, with regular interaction across legal, investment, and investor relations teams.
• Broaden your exposure: Support an established private funds business while helping prepare for a new hedge fund strategy.
• Make a visible contribution: Join a team where your judgment, ideas, and execution will directly influence the development of the compliance function.

Key Responsibilities

• Partner with the CCO on the day-to-day management and ongoing development of the firm’s compliance program.
• Review, update, and maintain compliance policies and procedures, including enhancements following a recent mock examination.
• Support compliance testing, annual reviews, mock examinations, and regulatory examination readiness.
• Develop and deliver annual compliance training and serve as a resource for employee questions.
• Review marketing and LP materials and help prepare responses to investor due diligence questionnaires.
• Participate in operational due diligence discussions with current and prospective investors.
• Prepare and coordinate regulatory filings, including Form ADV and Form PF.
• Help develop the compliance framework for the planned hedge fund launch.
• Coordinate AML/KYC workflows with an expanding international support team.
• Work closely with internal stakeholders and external advisers on regulatory developments and special projects.

Qualifications

• Approximately 8-15 years of relevant compliance experience, including meaningful experience with private funds.
• Strong knowledge of investment adviser regulation and the practical requirements of running a private fund compliance program.
• Experience with policy reviews, regulatory filings, marketing review, training, and investor due diligence.
• Hedge fund experience is a plus, particularly alongside a private markets background.
• JD helpful, particularly for policy interpretation and review, but not required.
• Strong judgment, clear communication, and a willingness to both own day-to-day work and help build new processes.
• Comfortable working in person in New York City or Menlo Park. New York-based candidates should be comfortable with later hours to maintain overlap with West Coast colleagues.