Position Overview – Chief Compliance Officer:
We are seeking a Chief Compliance Officer to oversee and manage our client's compliance program, ensuring adherence to regulatory standards and ethical practices.
Compensation: $125,000.00 – $200,000.00 + bonus
Location: New York City
Responsibilities as the Chief Compliance Officer include:
- Leading and managing the firm's compliance program, emphasizing professional and ethical standards
- Ensuring compliance with the Investment Adviser's Act of 1940 and other relevant regulations
- Overseeing the firm's Code of Ethics, including monitoring conflicts of interest and personal trading
- Implementing and monitoring compliance program policies and procedures, integrating tech solutions where needed
- Providing compliance training to employees and conducting testing to assess program effectiveness
- Preparing and overseeing regulatory filings such as Form ADV, Form PF, and other required reports
- Reviewing third-party research and approving research reports and other third-party generated data
- Performing trade surveillance and electronic communication reviews
- Maintaining cybersecurity and information security policies and procedures
- Assisting with legal matters, including fund formation, confidentiality agreements, and vendor contracts
Qualifications for the Chief Compliance Officer role include:
- Bachelor's degree required; law or advanced degree preferred but not required
- Minimum of 4 years of financial services compliance experience, preferably with a registered investment adviser
- Strong understanding of the Investment Adviser's Act of 1940 and related regulations
- Excellent problem-solving and organizational skills
- Effective communication abilities
- Full-time in-office position
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.