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Deputy Chief Compliance Officer

$200,000- $250,000
Posted May 28
Full Time
New York City Metropolitan Area

Location: NYC (hybrid) Compensation: $200k-$250k base + bonus ($150k-$250k)

Job Description: Deputy CCO and Counsel

Company Overview: We are a leading credit focused investment management firm with over $6 billion in assets under management. The Firm has @ 70 employees.

Position Overview: Our client is seeking an experienced and dynamic Deputy CCO and Counsel to join the Legal & Compliance team. The team is responsible for all legal and compliance matters for the Firm, including private funds and CLOs. The successful candidate will be part of the global team responsible for overseeing the policies, procedures and testing of our client’s compliance program. Successful candidates can expect to grow quickly and advance in responsibility and title.

Responsibilities: Compliance Leadership

  • Dive into the firm’s policies and procedures and make suggestions to enhance the documentation of procedures and testing of reports.
  • Develop and deliver compliance training programs for employees to ensure understanding of compliance policies and procedures.
  • Foster a culture of excellence, teamwork, and continuous improvement.

Policy and Procedure

  • Draft, implement, and maintain compliance policies, procedures and manuals to ensure adherence to regulatory requirements and industry standards.
  • Stay up to date with evolving regulations and industry trends, and proactively adapt the compliance program as needed.

Regulatory Filings

  • Conduct ongoing monitoring to determine regulatory filing requirements and work to prepare and make such filings. This requires coordination internally with our operations and technology team and often with outside counsel and compliance consultants. Develop processes and tools that result in additional improvements to the existing framework.

Marketing

  • The candidate will work closely with our internal business development team and also with outside counsel to create procedures for organizing and updating existing marketing guidelines for various jurisdictions. Responsible for the periodic update of PPMs, disclosure documents and subscription agreements.

Requirements & Qualifications:

  • Bachelor’s degree and JD is required.
  • At least 10 years experience at 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-actively offer 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.

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