Chief Compliance Officer
Chief Compliance Officer
Location: Connecticut or New York City, hybrid
A financial services firm is seeking a Chief Compliance Officer to oversee compliance programs supporting registered products and related advisory entities. The role will lead the implementation and administration of compliance programs for SEC registered investment vehicles, SEC registered investment advisers, NFA and CFTC registered commodity pools, and other compliance related activities tied to these products or entities.
Key Responsibilities
* Maintain expert knowledge of SEC regulations applicable to investment advisers and relevant products, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Rule 6c
* Monitor and advise on regulatory developments affecting registered products, including derivatives, valuation, liquidity, and related rulemaking
* Design, implement, and maintain compliance programs under Rule 206(4) 7 and Rule 38a 1 for 40 Act trusts, registered investment advisers, and commodity pool operators
* Provide compliance leadership and support for new product initiatives, including identifying regulatory risks and developing practical solutions
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Candidate Profile
* Bachelor’s degree, Law degree, or MBA preferred
* 10 to 15 years of compliance experience in the financial services industry with a strong understanding of registered products, derivatives, alternatives, and the regulatory landscape
* Demonstrated knowledge of U.S. securities laws including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and regulations from the SEC, CFTC, NFA, and FINRA
* Strong knowledge and experience with investment company, investment adviser, and NFA or CFTC compliance programs and requirements
* Experience with Rule 38a 1 under the Investment Company Act of 1940 and Rule 206(4) 7 under the Investment Advisers Act of 1940
* Prior broker or dealer knowledge and experience working with registered products and alternative assets and FINRA rules and regulations is highly desired
* Experience with regulatory examinations, investigations.
* FINRA Series 7 and 24 licenses required
The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.
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