Deputy Chief Compliance Officer

Deputy Chief Compliance Officer

This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Deputy Chief Compliance Officer based in the United States.

This is a senior compliance leadership opportunity for an experienced investment management professional ready to modernize and scale a sophisticated compliance organization. The role serves as the Chief Compliance Officer's key partner while providing day-to-day leadership across a broad, integrated compliance framework. You will oversee investment adviser, investment company, investment guideline, broker-dealer, and due diligence programs while maintaining strong regulatory discipline. The position combines strategic leadership with hands-on operational ownership, from risk identification and remediation to regulatory examinations and board reporting. A major focus will be using data, workflow automation, and responsibly governed AI to make surveillance, testing, evidence management, and reporting more efficient. You will work closely with senior executives, legal leaders, fund boards, independent trustees, regulators, and cross-functional teams. This role is ideal for a builder and independent thinker who can strengthen controls, anticipate risk, and enable innovation without compromising investor protection.

Accountabilities

• Lead the day-to-day operation of the enterprise compliance function, integrating investment company, investment adviser, investment guideline, broker-dealer, and due diligence compliance into a cohesive operating model.
• Oversee Advisers Act compliance programs, including portfolio management, trading, best execution, conflicts of interest, Codes of Ethics, marketing, disclosures, regulatory filings, and books and records.
• Direct Rule 38a-1 compliance activities across multiple ETF trusts, including annual reviews, risk-based testing, service-provider oversight, board reporting, and escalation and remediation of material compliance matters.
• Manage pre-trade and post-trade investment guideline monitoring, including rule coding, data quality, exception governance, escalation, and adherence to regulatory, tax, disclosure, board, and investment restrictions.
• Develop and maintain a risk-tiered due diligence framework covering sponsors, advisers, subadvisers, portfolio managers, index providers, and critical service providers.
• Build and oversee compliance infrastructure for an affiliated broker-dealer, incorporating applicable Securities Exchange Act and FINRA requirements.
• Serve as the senior escalation point for material compliance risks, recurring control weaknesses, open issues, and remediation activities while maintaining a clear enterprise-wide view of risk.
• Embed Compliance throughout the product lifecycle, from product concept and registration through onboarding, launch, and material changes, with heightened oversight of complex products and exposures.
• Provide compliance leadership for derivatives, leverage, inverse strategies, custom baskets, commodity interests, digital-asset-related exposures, and Rule 18f-4 requirements.
• Lead preparation for and responses to regulatory examinations, inquiries, and remediation involving the SEC, CFTC, NFA, and other applicable regulators.
• Leverage data, automation, workflow technology, and appropriately governed AI to strengthen surveillance, testing, issue management, regulatory change processes, evidence collection, and board reporting.
• Build a technically capable, collaborative, and cross-trained compliance team while preserving the function's independence and ability to challenge the business.
• Maintain direct communication with senior management, legal leadership, fund boards, independent trustees, and other stakeholders, escalating material or recurring issues appropriately.
• Exercise delegated authority to require remediation and, when necessary, pause onboarding, filings, launches, trades, marketing activities, or other business actions when material compliance requirements remain unresolved.

Requirements

• 12+ years of progressive investment management compliance experience, including significant leadership responsibility for ETF, Rule 38a-1, and Rule 206(4)-7 programs.
• Demonstrated experience working with complex investment products and operating models, including options, swaps, futures, leverage, inverse strategies, commodity interests, or digital-asset-related exposures.
• Previous experience as a Deputy CCO, named CCO, or senior compliance leader within a multi-series fund complex, ETF platform, multi-manager environment, or similarly sophisticated organization is strongly preferred.
• Proven ability to take ownership of complex compliance functions, simplify processes, strengthen controls, and build scalable systems that measurably reduce risk.
• Strong understanding of regulatory frameworks applicable to investment advisers, investment companies, broker-dealers, and related financial services activities.
• Experience leading regulatory examinations, remediation programs, risk assessments, surveillance, testing, compliance reporting, and service-provider oversight.
• Demonstrated ability to use data, automation, technology, and AI thoughtfully to improve compliance operations while maintaining appropriate human oversight and judgment.
• Exceptional judgment, analytical ability, and decision-making skills, with the confidence to challenge senior executives and make difficult calls while remaining pragmatic and solutions-oriented.
• Excellent written and verbal communication skills, with the ability to communicate effectively with CEOs, General Counsel, fund boards, trustees, regulators, and operational teams.
• Builder's mindset with the ability to move comfortably between high-level strategy, regulatory interpretation, operational processes, systems, controls, and underlying evidence.
• Strong interpersonal and collaboration skills, with the ability to operate effectively in complex, cross-functional environments while preserving Compliance's independence.
• A relevant professional credential is considered an asset.
• Candidates should ideally be located within reasonable proximity to Chicago, IL; Milwaukee, WI; New York City, NY; or West Palm Beach, FL.

Benefits

• Competitive senior-level compensation package, commensurate with experience and qualifications.
• Remote work arrangement within the United States.
• Opportunity to take on a high-impact leadership role with broad responsibility across a sophisticated investment and ETF compliance environment.
• Direct exposure to senior executives, fund boards, independent trustees, legal leadership, and regulatory stakeholders.
• Opportunity to modernize compliance operations through data, automation, workflow technology, and responsibly governed AI.
• Significant scope for professional growth, including the potential to assume some or all Chief Compliance Officer responsibilities over time, subject to formal appointment and applicable requirements.
• Collaborative environment focused on innovation, strong governance, independent judgment, and investor protection.
• Opportunity to shape compliance strategy and infrastructure across complex and innovative investment products.