Chief Compliance Officer (New York, NY): Our client, a leading global alternative asset manager, is seeking a Chief Compliance Officer to lead its compliance function. With a global presence and over $100B in assets, the CCO will be a senior, hands-on leader who will inherit and manage a strong existing team, work directly with regulators, and support a business that continues to expand its products and investment capabilities. Key PointsHigh-visibility role with a highly regarded Legal & Compliance team with very low turnover and an experienced compliance infrastructure already in place. Firm has expansive investment funds offering from private equity to real estate to registered funds and an ever-evolving range of investment products. Entrepreneurial, fast-paced environment where the CCO will have a meaningful voice as the business continues to grow and launch new initiatives. In-office 4 days/week in midtown Manhattan.
Responsibilities:
Lead the development, implementation, and ongoing enhancement of the firm's compliance program, policies, procedures, and internal controls.
Oversee compliance activities associated with the firm's registered investment company products, including pre-trade compliance and co-investment exemptive relief.
Monitor compliance with the Investment Company Act of 1940 and related SEC regulations.
Provide compliance oversight for private investment vehicles, including evergreen funds, co-investment programs, private fund offerings, and new product initiatives.
Oversee compliance monitoring, testing, surveillance, and reporting across advisory and investment management activities.
Maintain responsibility for the firm's Code of Ethics, personal trading program, gifts and entertainment policies, political contribution monitoring, and employee certifications.
Oversee compliance with the Advisers Act, marketing regulations, fiduciary obligations, portfolio management controls, valuation governance, and conflicts management.
Lead regulatory examinations, inquiries, and interactions with the SEC and other applicable regulators.
Partner with executive leadership as the firm evaluates new products, structures, and business initiatives.
Qualifications:
15+ years of compliance, legal, or regulatory experience within investment management or alternative asset management.
Significant in-house registered investment company compliance experience, including strong knowledge of the Investment Company Act of 1940.Experience across both registered and private fund structures strongly preferred.
Strong understanding of SEC requirements applicable to investment advisers and registered investment companies.
Experience interacting directly with regulators and managing regulatory examinations.
Strong judgment and the ability to address compliance issues in a practical, solutions-oriented manner.
Ability to communicate confidently with regulators, institutional investors, executive leadership, and investment professionals.
Bachelor's degree required. JD or other advanced degree is preferred but not required.
Compensation: $250-300K base; up to $650K all-in depending on profile
Job Reference #3651435
