Job Details

A company is looking for a Chief Compliance Officer.Key ResponsibilitiesDesign, implement, and maintain compliance policies and procedures to prevent violations of the Advisers ActOversee regulatory filings, ensuring timely and accurate submissions to the SEC and state regulatorsManage the firm's anti-money laundering (AML) and know-your-customer (KYC) programsRequired QualificationsMinimum of 5-10 years of compliance, legal, or regulatory experience in the investment management industryDeep knowledge of the Investment Advisers Act of 1940 and relevant SEC rules and regulationsExperience in designing and administering compliance programs for SEC-registered investment advisersBachelor's degree required; Juris Doctor (JD) or advanced degree preferredPrior experience as a Chief Compliance Officer or senior compliance officer at an SEC-registered investment adviser is a plus