Chief Compliance Officer
Posted 2026-05-06
Remote, USA
Full-time
Immediate Start
- Job Description:
- Develop, implement, administer, and enforce the firm’s compliance program in accordance with Rule 206(4)-7 under the Investment Advisers Act of 1940 (the “Advisers Act”) and all other applicable federal and state securities laws and regulations.
- Serve as the firm’s primary point of contact with the U.S. Securities and Exchange Commission, state securities regulators, and other regulatory bodies.
- Design, implement, and maintain the firm’s written compliance policies and procedures reasonably designed to prevent violations of the Advisers Act and rules thereunder.
- Conduct at least an annual review of the adequacy of the firm’s compliance policies and procedures and the effectiveness of their implementation, and document the results of that review.
- Identify and assess regulatory risks across all business activities and develop controls to mitigate those risks.
- Maintain and update the firm’s compliance manual to reflect changes in applicable laws, regulations, SEC staff guidance, and business operations.
- Oversee the firm’s Code of Ethics, including pre-clearance and reporting of personal securities transactions, gifts and entertainment, outside business activities, and political contributions.
- Oversee the preparation, review, and timely filing of Form ADV Parts 1, 2A (Brochure), 2B (Brochure Supplements), and Form CRS, including annual amendments and interim updates.
- Ensure timely filings on any such applicable regulatory filings/ requirements including Form ADV, Form 13F, Form 13H, U4s, and U5s.
- Serve as the primary liaison with the SEC’s Division of Examinations (formerly OCIE) and state securities regulators during routine examinations, inquiries, and investigations.
- Develop and deliver initial and ongoing compliance training for all employees, including investment professionals, operations staff, and senior management.
- Requirements:
- Minimum of 5–10 years of progressive compliance, legal, or regulatory experience in the investment management industry, with a significant portion focused on SEC-registered investment adviser regulation.
- Deep working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 (if applicable), SEC rules and regulations, and relevant state securities laws.
- Demonstrated experience designing, implementing, and administering compliance programs for SEC-registered investment advisers leveraging technology solutions.
- Experience managing SEC examinations and responding to regulatory inquiries.
- Strong understanding of fiduciary duty, conflicts of interest management, best execution, trade allocation, custody, and marketing compliance.
- Excellent written and verbal communication skills, with the ability to translate complex regulatory requirements into practical business guidance.
- Bachelor’s degree required; Juris Doctor (JD) or other advanced degree.
- Prior fintech driven investment advisory experience.
- Experience with digital assets, cryptocurrency, or emerging financial products is a plus.
- Series 65 (Uniform Investment Adviser Law Examination) or Series 66 (Uniform Combined State Law Examination), or an equivalent qualifying designation recognized by NASAA (e.g., CFA, CFP, CAMS).
- Prior experience as a CCO, Deputy CCO, or senior compliance officer at an SEC-registered investment adviser.
- Familiarity with CFTC regulations, including Commodity Trading Adviser (CTA) and Commodity Pool Operator (CPO) requirements, is a plus.
- Experience with compliance technology platforms.
- Benefits:
- Offers Equity
- Offers Bonus