Chief Compliance Officer (CCO), International Asset Management

Chief Compliance Officer (CCO), International Asset Management

About the Company

Expanding asset management firm

Industry
Financial Services

Type
Privately Held

About the Role

The Company is seeking a Chief Compliance Officer (CCO) to lead the development and enhancement of an institutional-grade compliance program across Canada and the U.S. The successful candidate will be responsible for ensuring SEC regulatory readiness and preparing for potential future RIA registration. This role involves playing a key part in the integration of compliance technology, including AI-enabled tools, and establishing a robust compliance framework to support current and future registration statuses. The CCO will also be tasked with maintaining a strong policy governance framework, leading compliance monitoring and testing programs, and preparing for regulatory reviews and examinations in both jurisdictions. Applicants for the CCO position at the company should have a Bachelor's degree, with a JD or MBA preferred, and possess deep regulatory fluency in SEC investment adviser requirements. Experience in leading and enhancing investment management compliance programs, including a strong understanding of the Advisers Act, SEC examinations, Form ADV, marketing rule, and regulatory enforcement expectations, is essential. The ideal candidate will also have demonstrable experience in Canadian regulatory compliance and a proven track record of interacting with Canadian securities regulators. The role requires a strategic leader who can build and own a comprehensive compliance program, ensure adherence to regulatory obligations, and effectively manage the compliance function across the organization.

Functions

• Legal