Deputy Chief Compliance Officer
A growing, dynamic and rapidly-expanding venture capital firm headquartered in Chicago, focused on investing in transformative startups across technology industry, is seeking a Deputy Chief Compliance Officer (DCCO) to join their team in a newly created position. The role will report to the current Chief Compliance Officer and Senior Counsel in order to focus on the majority of the regulatory requirements and day-to-day management of the compliance program. Experience with investment advisory compliance requirements is essential, and 1940 Investment Company Act compliance is a plus.
Key Responsibilities:
- Assist in the development, implementation, and monitoring of the firm's compliance program.
- Conduct periodic risk assessments and compliance reviews.
- Oversee regulatory filings and ensure timely and accurate reporting.
- Provide guidance on SEC and other regulatory requirements affecting private funds and venture capital operations.
- Collaborate with legal, finance, and operations teams to ensure integrated compliance practices.
- Lead training initiatives to promote compliance awareness across the firm.
- Monitor changes in regulations and industry best practices, and advise leadership accordingly.
- Support due diligence and onboarding of new investments and fund structures.
Qualifications:
- 5-10 years of experience in compliance, legal, or regulatory roles within financial services, preferably in venture capital, private equity, or asset management.
- Strong understanding of SEC regulations, particularly those applicable to private funds.
- Proven ability to manage complex compliance issues and communicate effectively with senior leadership.
- Exceptional organizational skills and attention to detail.
- JD or other relevant certifications a plus but not required.
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