Job Description

A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance Officer (CCO) to lead and enhance its compliance program. This is a high-impact leadership role based in New York City, requiring a strong presence in-office four days per week. An ideal candidate will have relevant experience at a similar organization with senior compliance responsibilities or is a current chief compliance officer.

Key Responsibilities:

• Oversee and manage the firm's compliance framework across all business lines, including asset management, broker-dealer operations, and private equity.
• Ensure full adherence to SEC and FINRA regulations, including the development and implementation of policies, procedures, and internal controls.
• Serve as the primary liaison with regulatory bodies, including handling audits, inquiries, and examinations.
• Lead compliance training, risk assessments, and internal investigations.
• Advise senior leadership on regulatory developments and strategic compliance initiatives.
• Collaborate closely with the rest of the executive committee to ensure regulatory obligations are met
• Ability to manage a small compliance team globally, including knowledge of FCA/UK regulations as they apply

Qualifications:

• Series 7 and 24 licenses required.
• Juris Doctor (JD) strongly preferred.
• 10+ years of progressive compliance experience in financial services, with deep knowledge of SEC and FINRA rules.
• Experience with private equity compliance is a plus.
• Proven leadership, communication, and analytical skills.

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