Chief Compliance Officer

Buy-side firm in search of a CCO or Deputy CCO dependent on experiencePosition OverviewThe Chief Compliance Officer will be responsible for developing, implementing, and overseeing the firm's compliance program. This role requires a deep understanding of the regulatory landscape 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 and work closely with senior management and all team members to foster a culture of compliance throughout the organization.Key ResponsibilitiesCompliance Program Development: Ongoing development, implementation and oversight of a comprehensive compliance program that meets SEC requirements and international regulations applicable to our foreign offices and funds' domiciles.Regulatory Oversight: Monitor changes in laws and regulations affecting the investment advisory industry and ensure the firm's policies and procedures are updated accordingly.Risk Assessment: Work with compliance consultant to conduct regular compliance risk assessments and audits to identify potential areas of compliance vulnerability and develop corrective action plans.Training and Education: Work with compliance consultant to develop and deliver compliance training programs for employees globally at all levels to promote awareness and understanding of compliance obligations.Reporting and Communication: Prepare and present compliance reports to senior management, highlighting compliance issues, trends, and recommendations for improvement.Regulatory Filings: Oversee the submission of SEC and other regulatory filings, including foreign ownership filings, FinCEN Beneficial Ownership Forms, Hart-Scott-Rodino, etc.Due Diligence, KYC, AML: Responsible for overseeing the firm's due diligenceKYC response function as well as ensuring adherence to adequate AML policies and procedures.Liaison with Regulators: Serve as the primary point of contact for regulatory agencies, managing examinations and inquiries pliance and Personnel Management: Manage relationship with external compliance consultant and hire, train and supervise internal compliance cident Management: Oversee the investigation of compliance violations and ensure appropriate disciplinary actions are taken when necessary.

Created: 2024-11-07