US Chief Compliance Officer
Our client is a leading global investment management firm with a diversified platform spanning private equity, private credit, public equities, fixed income, and advisory solutions. With a strong international presence and a commitment to the highest standards of governance, risk management, and regulatory excellence, the firm is seeking an experienced U.S. Chief Compliance Officer to lead and enhance its compliance framework across the region. Working closely with senior business leaders and the global compliance function, this executive will provide strategic compliance oversight, serve as a trusted advisor to key stakeholders, and help ensure the firm's regulatory obligations are met across a complex and evolving investment platform. This is a highly visible leadership role offering the opportunity to influence business strategy while fostering a strong culture of compliance and integrity. The successful candidate will manage a small compliance team and collaborate extensively with investment, legal, operations, and executive leadership teams both domestically and internationally.
Requirements
- 10+ years of compliance experience within a global or international investment management organization.
- Significant experience overseeing compliance programs across multiple investment strategies, including private markets (private equity and private credit), public equities, and fixed income.
- Strong knowledge of U.S. investment adviser regulations and broader regulatory requirements applicable to asset managers.
- Demonstrated experience leading and developing a small compliance team.
- Proven ability to partner effectively with executive leadership and provide strategic compliance guidance to business stakeholders.
- Experience managing regulatory examinations, compliance monitoring programs, policies, training initiatives, and regulatory change management.
- Track record of working within a global compliance framework and collaborating with international compliance teams.
- Excellent communication, stakeholder management, and relationship-building skills.
- Ability to operate in a fast-paced, complex, and highly regulated investment environment.
- Bachelor's degree required; advanced degree preferred.
- Legal background or qualifications are advantageous.
- FINRA compliance experience and exposure to broker-dealer regulatory requirements are a plus.
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