A leading Investment Management firm in Miami and looking to hire their first Chief Compliance Officer. They are a highly successful and dynamic firm, primarily focused in various sectors such as renewable energy, power, social and environmental infrastructure, transportation, digital infrastructure, and energy.
Chief Compliance Officer Responsibilities:
- Overseeing SEC registration for a new investment adviser focused on infrastructure, including filing Form ADV.
- Developing and implementing a compliance program with tailored policies and procedures.
- Fostering a strong culture of compliance across the firm.
- Conducting risk assessments and compliance reviews, including an annual review, to address risk areas and conflicts of interest.
- Ensuring compliance with the SEC’s Marketing Rule for all marketing materials.
- Managing the anti-bribery and corruption program for both investors and investments.
- Developing and delivering compliance training for employees.
- Serving as the primary liaison with regulators for examinations, investigations, and routine inquiries.
- Handling regulatory filings such as Form ADV, Form PF, and Sections 13 and 16, as needed.
- Attending investor due diligence meetings.
- Staying up-to-date with industry trends and changes in U.S. and international regulations.
Chief Compliance Officer Qualifications:
- Bachelor’s degree required; a law degree is preferred.
- At least 7-10 years of in-house compliance experience with an SEC-registered investment adviser, ideally in the private equity space. Experience in infrastructure investing is highly desirable.
- Fund formation experience is a plus.
