Executive Chief Compliance Officer – Investment Management Leader

Cardea Group; Tampa (FL); On-site; USD 300,000 - 350,000; Full time

Benefits offered by this job

Competitive all-in compensation

Job summary

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

The role oversees the registered funds business, private fund compliance, and regulatory matters, with a seat at the leadership table. Significant experience with the Investment Company Act and Advisers Act is required.

Qualifications

• 10+ years of investment management compliance experience.
• Deep knowledge of the Investment Company Act of 1940.
• Strong knowledge of the Investment Advisers Act of 1940.

Responsibilities

• Lead and administer the firm’s compliance program, including policies and procedures, testing, annual reviews, monitoring, and enhancements.
• Provide senior oversight for registered fund business and related regulatory requirements.
• Serve as primary contact with the SEC and regulators, including examinations and responses.
• Oversee regulatory filings such as Form ADV and Exchange Act filings.
• Partner with senior leadership on the firm’s risk management framework.
• Lead private fund compliance including offering requirements, investor eligibility, conflicts, fees and side letters, Form PF.
• Manage the compliance team across marketing, trading, regulatory matters, training and due diligence.
• Oversee Code of Ethics, proxy voting, training programs and marketing review.
• Prepare and present compliance reporting to the Board and governance committees.
• Collaborate with investment, legal, finance, technology and business functions to guide regulatory matters.
• Monitor developments and evolve the framework accordingly.

Skills

Investment compliance

Regulatory affairs

Leadership

Communication

Risk management

Job description

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

The role oversees the registered funds business, private fund compliance, and regulatory matters, with a seat at the leadership table. Significant experience with the Investment Company Act and Advisers Act is required.