BUY SIDE profiles only will work for this! Banking backgrounds will not be considered.
This is a small compliance team, candidates must come from smaller environments and have seen and done all aspects of compliance.
Can be either a Deputy or CCO role to start
4 days in office Friday remote.
10+ billion dollar investment firm!
Chief Compliance Officer will be responsible for developing, implementing, and overseeing the firm’s compliance program. This role requires a deep understanding of the regulations affecting investment advisers, particularly the Investment Advisers Act of 1940, and the ability to navigate complex international regulations. The CCO will report directly to the CEO.
Responsible for submitting SEC and other regulatory filings, including foreign ownership filings, FinCEN Beneficial Ownership Forms, Hart-Scott-Rodino, etc.
In-depth knowledge of SEC regulations, the Investment Advisers Act, and international compliance standards, particularly in Europe and Asia.
