Position Overview – Deputy Chief Compliance Officer:
Our client, a leading investment management firm, is seeking an accomplished Deputy Chief Compliance Officer and Counsel to join their Legal and Compliance team. Reporting to the CCO, the selected candidate will help oversee regulatory compliance across private funds, CLOs, and business operations.
Compensation: $250,000.00 – $300,000.00 + bonus (150k – 200k)
Location: New York City
Responsibilities as the Deputy Chief Compliance Officer include:
- Enhancing documentation of policies, procedures, and testing
- Developing and delivering compliance training
- Fostering a culture of excellence, teamwork, continuous improving
- Drafting, implementing, maintaining compliance policies and procedures
- Ensuring adherence to regulations and standards
- Staying updated on evolving regulations
- Adapting compliance program as needed
- Conducting monitoring for regulatory filings
- Working on preparing and making filings
- Creating procedures for marketing guidelines and documents
Qualifications for the Deputy Chief Compliance Officer include:
- Bachelor’s degree and JD
- At least ten years’ experience at a multi-strategy hedge fund
- In-depth knowledge of compliance requirements applicable to SEC-registered investment advisers
- Significant experience in drafting policies, procedures, and memorandums. The ability to draft independently is critical
- Willingness to be very hands-on and pro-active in offering solutions; comfortable with technology and data
- Team player and self-starter who thrives in a fast-paced environment; ability to be calm under pressure
- Outstanding communication skills, both written and verbal
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.