Deputy Chief Compliance Officer
Confidential
Deputy Chief Compliance Officer
About the Company
Respected ETF investment technology platform
Industry
Financial Services
Type
Privately Held, Private Equity-backed
Founded
2012
Employees
51-200
Specialties
- trust services
- strategy & planning
- product development
- marketing
- business development
- distribution & sales
- business growth assessment
- etf think tank
- advisory services
- national accounts
- product launch
- and consulting
About the Role
The Company is seeking a Deputy Chief Compliance Officer to play a pivotal role in modernizing and leading the next generation of compliance. This is a hands-on, proactive position that goes beyond maintenance to integrate and elevate the entire compliance structure. The successful candidate will be responsible for day-to-day leadership across various compliance areas, including investment company trust compliance, investment guideline compliance, investment adviser compliance, and due diligence. A key focus is on leveraging technology, data, and AI to enhance surveillance, testing, and issue management while ensuring that human judgment remains central to the process. The role also involves setting standards, establishing accountability, and driving a culture of compliance that extends to enterprise-wide privacy, cybersecurity, and regulatory change. Applicants must have at least 12 years' of progressive investment management compliance experience, with a strong background in ETF, Rule 38a-1, and Rule 206(4)-7 programs. The ideal candidate will have a proven track record of simplifying and building scalable systems to reduce risk, as well as exceptional judgment and communication skills. A builder's mindset, independent judgment, and the ability to operate with a boardroom-to-workflow range are essential. The Deputy Chief Compliance Officer will be expected to proactively de-risk the organization, anticipate and resolve issues, and ensure that compliance is embedded in the development of new products. The role requires a leader who can challenge the business, make risk visible, and is prepared to take on the responsibilities of a Chief Compliance Officer in the future.
Hiring Manager Title
Chief Compliance Officer
Functions
- Finance
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Confidential
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