Chief Compliance Officer

$257,000 - $280,000/Yr

Smbc - New York, NY

Full-time - Executive

Remote - New York, NY

10,001+ employees

About the position

The Chief Compliance Officer (CCO) will lead the compliance program for an investment advisory firm in Manhattan, ensuring adherence to regulatory requirements as the firm registers with the U.S. Securities and Exchange Commission (SEC). The CCO will foster a culture of compliance, manage compliance operations, and serve as the primary contact for regulatory interactions.

Responsibilities

• Develop and manage all components of the compliance program and operations for a New York State and SEC-registered investment adviser.
• Engage with and advise senior management and staff on U.S. compliance rules, regulations, and procedures.
• Develop and execute monitoring and testing of business activities, including the annual compliance program review.
• Oversee the development and maintenance of trade compliance programs, policies, and automated systems.
• Serve as the primary contact with regulators during exams and inquiries.
• Oversee the preparation and ongoing maintenance of all applicable regulatory registrations and filings.
• Liaise with external legal counselors regarding legislation and regulations affecting U.S. business activities.
• Assist non-U.S. affiliates on U.S. compliance matters.
• Maintain a thorough understanding of state and federal securities rules and regulations governing the investment advisory industry.

Requirements

• BA/BS degree in economics, computer science, finance, or a similar discipline; MBA or JD preferred.
• Candidates must pass Series 65, Series 66 and Series 7 combined, or possess a professional designation such as CFA, CFP, CIC, ChFC, or PFS.
• 15+ years of experience in risk, compliance, audit, and/or relevant law, with at least 10+ years with a registered investment adviser.
• 5+ years of supervisory management experience.
• 5+ years of experience within a subsidiary/non-U.S. parent, global operating model.
• Direct experience managing regulatory exams, particularly SEC exams.
• Fund compliance experience (public and private).
• Strong working knowledge of the Investment Company Act of 1940 and registered funds.

Nice-to-haves

• Working knowledge of Resolver or a similar GRC or Compliance Workflow solution.

Benefits

• Competitive salary range between $257,000.00 and $280,000.00.
• Annual discretionary incentive award eligibility.
• Comprehensive benefits portfolio.