Chief Compliance Officer, Asset Management and Broker-Dealer
A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance Officer (CCO) to lead and enhance its compliance program. This is a high-impact leadership role based in New York City, requiring a strong presence in-office four days per week. An ideal candidate will have relevant experience at a similar organization with senior compliance responsibilities or is a current chief compliance officer.
Key Responsibilities:
- Oversee and manage the firm's compliance framework across all business lines, including asset management, broker-dealer operations, and private equity.
- Ensure full adherence to SEC and FINRA regulations, including the development and implementation of policies, procedures, and internal controls.
- Serve as the primary liaison with regulatory bodies, including handling audits, inquiries, and examinations.
- Lead compliance training, risk assessments, and internal investigations.
- Advise senior leadership on regulatory developments and strategic compliance initiatives.
- Collaborate closely with the rest of the executive committee to ensure regulatory obligations are met
- Ability to manage a small compliance team globally, including knowledge of FCA/UK regulations as they apply
Qualifications:
- Series 7 and 24 licenses required.
- Juris Doctor (JD) strongly preferred.
- 10+ years of progressive compliance experience in financial services, with deep knowledge of SEC and FINRA rules.
- Experience with private equity compliance is a plus.
- Proven leadership, communication, and analytical skills.
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