We are seeking a Chief Compliance Officer to lead our compliance program in accordance with the Investment Advisers Act of 1940 and other applicable federal and state securities laws and regulations.
Requirements
- Minimum of 5–10 years of progressive compliance, legal, or regulatory experience in the investment management industry
- Deep working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC rules and regulations, and relevant state securities laws
- Demonstrated experience designing, implementing, and administering compliance programs for SEC-registered investment advisers leveraging technology solutions
- Experience managing SEC examinations and responding to regulatory inquiries
- Strong understanding of fiduciary duty, conflicts of interest management, best execution, trade allocation, custody, and marketing compliance
Benefits
- Generous Paid Time Off
- 401k Matching
- Retirement Plan
- Visa Sponsorship
- Four Day Work Week
- Generous Parental Leave
- Tuition Reimbursement
- Relocation Assistance
