Senior CCO — Funds & Regulatory Leadership

Cardea Group; Florida; On-site; USD 150,000 - 230,000; Full time

Job summary

Cardea Group in the Tampa Bay Area, FL, seeks an experienced compliance executive to serve as Chief Compliance Officer. This senior leadership role oversees the firm’s compliance program with exposure to executive management and the Board.

The CCO will lead a skilled team, manage regulatory interactions with the SEC, oversee registered funds and Form ADV filings, and partner with leaders across investment and operations to strengthen governance and risk management.

Qualifications

• 10+ years of investment management compliance experience with preference for 12–15+ years.
• Deep knowledge of the Investment Company Act of 1940.
• Strong knowledge of the Investment Advisers Act of 1940 and SEC framework.
• Prior CCO experience preferred; readiness to step into CCO will be considered.
• Management experience strongly preferred.
• Experience with complex or innovative investment products and strategies.

Responsibilities

• Lead and administer the firm’s compliance program, including policies and procedures, periodic testing, annual reviews, regulatory monitoring, and ongoing enhancements.
• Provide senior compliance oversight for the firm’s registered fund business and related Investment Company Act requirements.
• Serve as a primary point of contact with the SEC and other regulators, including leading regulatory examinations, inquiries, and responses.
• Oversee key regulatory filings and reporting, including Form ADV and applicable Exchange Act filings.
• Partner with senior leadership on the firm’s broader risk management framework, including identifying, assessing, monitoring, and escalating regulatory and enterprise risks.
• Oversee private fund compliance, including applicable offering requirements, investor eligibility, conflicts, fees and expenses, side letters, and Form PF.
• Lead and manage the compliance team across marketing compliance, trading and investment compliance, regulatory matters, training, and due diligence.
• Oversee the Code of Ethics, proxy voting, employee compliance, marketing review, and compliance training programs.
• Prepare and present compliance reporting to the Board and provide compliance leadership across key governance committees.
• Partner closely with investment, legal, finance, technology, and other business functions to provide practical guidance on regulatory and compliance matters.
• Monitor regulatory developments and ensure the compliance framework evolves appropriately with changes in the business and regulatory environment.

Skills

Executive leadership

Regulatory knowledge

Communication skills

Team management

Strategic risk management

Job description

Cardea Group in the Tampa Bay Area, FL, seeks an experienced compliance executive to serve as Chief Compliance Officer. This senior leadership role oversees the firm’s compliance program with exposure to executive management and the Board.

The CCO will lead a skilled team, manage regulatory interactions with the SEC, oversee registered funds and Form ADV filings, and partner with leaders across investment and operations to strengthen governance and risk management.