Chief Compliance Officer (CCO)
About the Company
Private equity firm and SEC-registered investment adviser with lean compliance needs.
Industry
Investment Management
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer to lead and manage the full compliance function for a private equity firm and registered investment adviser. The successful candidate will be responsible for overseeing ongoing compliance obligations, maintaining the firm's compliance manual, and managing various compliance requirements. This role requires a hands-on approach, the ability to work independently, and a practical, business-minded perspective on compliance. The Chief Compliance Officer will also be expected to partner with senior leadership, outside counsel, and internal stakeholders to ensure compliance with all regulatory requirements. Applicants must have a Bachelor's degree and recent experience in a similar role within a private equity firm. Strong knowledge of formal compliance requirements for private equity funds and investment advisers is essential, as is the ability to work primarily remotely and travel to the New York City office as needed. The ideal candidate will have a background in private equity compliance programs, investment adviser regulatory obligations, and be well-versed in various compliance areas such as political contributions, gifts and entertainment, personal trading, and SEC examination readiness. The role demands a professional with strong judgment, effective communication skills, and the ability to provide practical guidance on compliance matters.
Functions
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