Chief Compliance Officer (San Francisco, CA): Our client, a successful hedge fund with approximately $3B in AUM, is seeking a talented and experienced CCO to help run all aspects of the compliance program. This hire will be responsible for managing the compliance program day to day and interacting with all areas of the business. This is an excellent opportunity for someone still early in their career to step up into a leadership position and hold the CCO title day one.
Highlights:
● First fully dedicated compliance hire
● Technology, innovation, and diversity are at the forefront of the culture and success here
● Firm has been around for over 10 years and boasts a stable track record
● Hybrid work schedule (3- 4 days in), competitive compensation and benefits
Responsibilities:
● Manage the firm’s overall compliance program and develop, review, and update the firm's compliance policies and procedures to reflect changes in regulations and industry best
practice
● Manage and oversee all MNPI and expert networks
● Assist in administering the code of ethics to all employees
● Prepare regulatory filings (Form PF, Form ADV 1, 2a, 2b, etc.)
● Review and approve external communications including marketing materials
● Team with and oversee the firm’s outside compliance consultant’s work
● Manage pre and post trade reviews
● Manage (and assist in the development of) robust risk identification and compliance testing programs
Qualifications:
● 10+ years of relevant compliance experience in the investment industry; JD is a plus
● Strong knowledge of securities laws and regulations, including the Investment Advisers Act and the Dodd-Frank Act
● Excellent analytical, problem-solving, and organizational skills
● Effective communication and interpersonal skills
