Chief Compliance Officer (CCO)

Chief Compliance Officer (CCO)

About the Company

A growing financial services and alternative investments platform scaling its compliance infrastructure.

Industry
Financial Services

Type
Privately Held

About the Role

The Company is in search of a Chief Compliance Officer to take on a pivotal role in leading and enhancing the compliance framework across its financial services and alternative investments platform. The successful candidate will be the senior compliance leader, serving as the primary contact for regulatory matters and examinations. Key responsibilities include overseeing and continuously improving the firm's compliance program, providing regulatory guidance on a range of business activities, and managing SEC, FINRA, and state regulatory examinations. The role also involves partnering with various teams to strengthen controls, automate compliance processes, and help shape a scalable compliance infrastructure to support the company's growth. Applicants for the Chief Compliance Officer position at the company should have a JD and a minimum of 10 years' of compliance experience, with a strong preference for those with a background in private funds, alternative investments, Regulation D offerings, and investor onboarding processes. The ideal candidate will have a proven track record in building, leading, and scaling compliance programs, as well as strong communication skills and experience in direct interactions with regulators and senior leadership. A strategic and hands-on approach to compliance, a passion for operating in a growth-oriented environment, and a commitment to modernizing compliance operations while upholding a strong regulatory culture are essential for this role.

Functions

• Finance