We are currently partnered with a Private Equity firm based in Florida looking to add a CCO to their growing team.
Chief Compliance Officer Role Responsibilities:
- Develop, implement, and maintain a comprehensive compliance program tailored to the firm’s investment activities.
- Manage compliance calendar and regulatory reports (e.g., SEC filings, AML/KYC documentation).
- Conduct regular compliance risk assessments and monitor investment activities for adherence to policies.
- Oversee training programs to promote compliance awareness among employees.
- Monitor electronic communications for compliance risks and investigate potential violations.
- Review marketing materials to ensure proper disclosures and compliance with regulations.
- Administer the Code of Ethics, including compliance reporting and pre-clearance requests.
- Draft compliance communications and assist with training initiatives for staff.
- Collaborate with senior management and external advisors on compliance projects and best practices.
Chief Compliance Officer Qualifications:
- Bachelor’s degree required; advanced degree or relevant certification (e.g., CAMS, CCO) preferred.
- 5+ years of compliance experience, preferably within private equity or asset management.
- In-depth knowledge of the SEC regulations and relevant financial compliance laws.
- Strong analytical skills and attention to detail, with the ability to identify and mitigate compliance risks.
- Excellent written and verbal communication skills, capable of effectively interacting with various stakeholders.
