Chief Compliance Officer

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 Points

• High-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