Chief Compliance Officer (CCO)

  • Location: New York, NY
  • Type: Perm (Contingency)
  • Job #35149
  • Salary: $250,000

Position Overview – Chief Compliance Officer (CCO):
Join a prestigious investment management firm as a Chief Compliance Officer (CCO) responsible for overseeing and developing our client’s compliance program. This role entails managing a team of compliance analysts and collaborating with senior leaders.

Compensation: $250,000.00 – $300,000.00 + bonus 
Location: New York City or Fairfield County, CT

Responsibilities as the CCO include:

  • Overseeing, developing, and implementing the firm’s compliance program
  • Reviewing reports and diagnostics for compliance with firm policies and client investment restrictions
  • Leading allocation and trade-time legal and tax reviews
  • Participating in governance committees and compliance-related leadership
  • Delivering annual in-house compliance training
  • Working on automated compliance-related systems with in-house software developers
  • Preparing regulatory filings and handling regulatory communications
  • Drafting and revising compliance policies and procedures
  • Collaborating with legal personnel to review and approve marketing materials

Qualifications for the CCO role:

  • Bachelor’s degree and JD (preferred) with strong academic credentials
  • 8+ years of relevant work experience
  • Understanding of SEC and CFTC regulatory frameworks
  • Familiarity with fixed income, structured products, and derivatives markets
  • Strong quantitative, analytical, and problem-solving skills
  • Attention to detail and ability to manage data-intensive projects
  • Ability to handle multiple tasks in a fast-paced environment
  • Desire to work independently, identifying and resolving issues
  • Familiarity with SQL programming language and broker-dealer regulatory framework (preferred)

Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.

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Job ID: 35149