Chief Compliance Officer
cardea groupWhite Plains (NY)
Chief Compliance Officer
Posted 5 days ago
cardea groupWhite Plains (NY)
SENIORITY
Director
SALARY
$550 K
About the role
Chief Compliance Officer (with potential for a counsel title) - New York, NY: Our client, a leading wealth management firm, is seeking a Chief Compliance Officer to join their legal and compliance team. This individual will oversee the firm's regulatory compliance, legal affairs, corporate governance, and enterprise risk management, serving as a trusted advisor to leadership on a broad range of strategic and operational matters. The ideal candidate will bring a strong combination of legal expertise, regulatory knowledge, and commercial judgment, with the ability to navigate complex issues while supporting the firm's long-term objectives and fiduciary responsibilities. Key Points Opportunity to oversee both the legal and compliance functions, with responsibility for a wide range of corporate, regulatory, investment, and governance matters. Exposure to complex private investment structures, alternative investment vehicles, and the unique legal and fiduciary considerations associated with ultra-high-net-worth individuals and families. Work closely with investment, operations, human resources, and other business teams, providing practical solutions to complex legal and regulatory matters. Play a central role in strengthening the firm's compliance framework, managing enterprise risk, and supporting a culture of integrity, accountability, and sound judgment. Excellent quality of life organization.
Responsibilities:
Serve as the firm's chief legal advisor on corporate, commercial, investment, employment, and fiduciary matters.
Lead the firm's enterprise compliance program, ensuring adherence to SEC regulations, fiduciary obligations, privacy requirements, anti-money laundering regulations, and applicable federal and state laws.
Monitor and interpret evolving legal and regulatory developments, advising leadership on potential risks and implications for the business.
Oversee compliance testing, surveillance, regulatory examinations, and annual risk assessments.
Manage legal and compliance matters relating to cybersecurity, business continuity planning, and internal governance policies.
Review and negotiate investment-related legal documentation, including subscription agreements, co-investment agreements, investment management agreements, limited partnership agreements, and consents.
Advise on employment matters, human resources policies, and workforce compliance.
Oversee relationships with external legal counsel and specialized advisors, coordinating support on complex transactions, litigation, and other legal matters.
Identify and address potential conflicts of interest, ensuring that legal and compliance decisions reflect the firm's fiduciary obligations and long-term interests.
Qualifications:
Bachelor's degree required.
Juris Doctor (JD) preferred along with admission to practice law in at least one U.S. jurisdiction.10+ years of legal and compliance experience, ideally within a multi-family office, Registered Investment Advisor (RIA), or similarly sophisticated investment management environment.
Strong understanding of SEC regulations, fiduciary obligations, investment adviser compliance, and applicable federal and state regulatory requirements.
Deep familiarity with private investment structures, alternative investment vehicles, and the legal complexities.
Experience managing regulatory examinations, negotiating complex commercial agreements, and advising on investment-related legal matters.
Demonstrated ability to balance risk management with commercial objectives, offering practical solutions rather than unnecessarily restrictive guidance.
Exceptional judgment, integrity, and discretion, with the confidence to deliver difficult messages and maintain independence when appropriate.
IACCP and/or CAMS certification preferred but not required. CFA designation is also desirable.
Compensation: up to $550K all-in cash compensation Job Reference #3695516
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