Chief Compliance Officer (Milwaukee)

The Chief Compliance Officer (CCO) is responsible for the design, implementation, and ongoing administration of the firm’s compliance program across both its CFTC/NFA and SEC regulatory obligations. The CCO advises senior management on regulatory matters and fosters a strong culture of compliance throughout the organization. This role reports directly to senior management and has regular interaction with the firm’s principals, operations, trading, and legal functions.

Responsibilities

• Own and administer the firm’s compliance program, including annual review and testing under the NFA self‑examination questionnaire and Advisers Act Rule 206(4)-7.
• Manage all CFTC/NFA obligations, including CPO‑PQR, CTA‑PR, disclosure documents, exemption filings, bylaw 1101 diligence, and NFA registration and principal/AP licensing matters.
• Manage all SEC regulatory filings and obligations, including Form ADV, Form PF, Form 13F/13H, Section 16 and 13D/G monitoring, and compliance with the Marketing Rule (206(4)-1).
• Maintain and enforce the Code of Ethics, including personal trading, gifts and entertainment, outside business activities, and political contributions.
• Oversee trade surveillance and market conduct monitoring across futures and FX, including position limits, large trader reporting, and exchange/SEF rule compliance.
• Serve as primary point of contact for regulatory examinations, inquiries, and audits by the CFTC, NFA and SEC; manage responses and remediation.
• Administer the firm’s AML/KYC program and sanctions (OFAC) screening in coordination with investor relations and fund administrators.
• Review marketing materials, investor communications, due diligence questionnaires, and offering documents for regulatory compliance.
• Monitor regulatory developments in both regimes; assess impact and update policies, procedures, and controls accordingly.
• Deliver firm‑wide compliance training and annual certifications; advise employees on compliance questions.
• Oversee compliance aspects of counterparty, vendor, and service‑provider relationships, including FCMs, prime brokers, and administrators.
• Report regularly to senior management on the state of the compliance program, material risks, violations, and remediation.

Compensation & Benefits

The estimated base salary range for this position is $150,000‑$250,000. The final salary within this range will be based on qualifications, experience, and other factors. Total compensation includes the opportunity to participate in a discretionary bonus plan and a comprehensive benefits program.

Qualifications

• Minimum of 10 years of compliance experience in the asset management industry, with substantial hands‑on experience under both the CFTC/NFA and SEC regulatory regimes.
• Prior experience as a CCO, deputy CCO, or senior compliance officer at a CPO/CTA and/or registered investment adviser.
• Deep working knowledge of the Commodity Exchange Act, Investment Advisers Act, CFTC regulations, and NFA rules.
• Direct experience managing CFTC, NFA, and/or SEC examinations and regulatory inquiries.
• Bachelor’s degree required.
• Strong judgment, discretion, and the ability to communicate regulatory requirements clearly to trading, technology, and business personnel.

What You’ll Need to be Successful

• A hands‑on willingness to participate at all levels and get the job done.
• Strong team player with a loyal cooperative spirit.
• Able to adapt to frequent changes in the business operating environment.
• High level of integrity and the capacity to work under tight deadlines with a strong results orientation.
• Self‑starter with ability to handle multiple priorities.
• Demonstrated analytical skills and a commitment to high quality, detailed work.
• Ability to work our hybrid work schedule out of our Milwaukee office (in office Tuesday – Thursday).