Confidential
Chief Compliance Officer
About the Company
Pioneering independent investment advisory firm
Industry
Financial Services
Type
Privately Held
Founded
1988
Employees
51-200
Specialties
mission-aligned investing
outsourced cio
defined contribution advisory
diagnostic reviews
investment policy guidelines
investment structure and implementation
manager evaluation
recommendation
and monitoring
performance and risk measurement
and audit package preparation
About the Role The Company is seeking a Chief Compliance Officer to play a pivotal role in shaping and leading the firm's compliance strategy, particularly in the areas of advisory and OCIO services. The successful candidate will be a key member of the Executive Leadership Team, responsible for the design, implementation, and enhancement of the investment adviser compliance program. This includes overseeing compliance monitoring, testing, reporting, and regulatory filings, as well as developing and enforcing policies to ensure adherence to all relevant laws and regulations. The role also involves managing business and compliance risks, leading a high-performing compliance team, and staying abreast of industry and regulatory developments.
Applicants for the Chief Compliance Officer position at the company should have a Juris Doctor degree, a minimum of 10 years' progressive compliance experience, with at least 5 years in a leadership role within an investment advisory or consulting firm. In-depth knowledge of regulatory requirements, particularly the Investment Advisers Act and Rule 206(4)-7, is essential, as is direct experience engaging with regulators such as the SEC. The ideal candidate will have expertise in investment advisory services, with familiarity in alternatives, private funds, and other complex financial products being a plus. The role requires a strategic thinker who can partner with senior leaders, mentor a compliance team, and support the firm in meeting the highest standards of integrity and care. Hiring Manager Title President Travel Percent Less than 10% Functions Finance
About the Role The Company is seeking a Chief Compliance Officer to play a pivotal role in shaping and leading the firm's compliance strategy, particularly in the areas of advisory and OCIO services. The successful candidate will be a key member of the Executive Leadership Team, responsible for the design, implementation, and enhancement of the investment adviser compliance program. This includes overseeing compliance monitoring, testing, reporting, and regulatory filings, as well as developing and enforcing policies to ensure adherence to all relevant laws and regulations. The role also involves managing business and compliance risks, leading a high-performing compliance team, and staying abreast of industry and regulatory developments.
Applicants for the Chief Compliance Officer position at the company should have a Juris Doctor degree, a minimum of 10 years' progressive compliance experience, with at least 5 years in a leadership role within an investment advisory or consulting firm. In-depth knowledge of regulatory requirements, particularly the Investment Advisers Act and Rule 206(4)-7, is essential, as is direct experience engaging with regulators such as the SEC. The ideal candidate will have expertise in investment advisory services, with familiarity in alternatives, private funds, and other complex financial products being a plus. The role requires a strategic thinker who can partner with senior leaders, mentor a compliance team, and support the firm in meeting the highest standards of integrity and care. Hiring Manager Title President Travel Percent Less than 10% Functions Finance