Chief Compliance Officer
Larson Maddox - miami, FL
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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.
Created: 2024-09-30