Chief Compliance Officer

Chief Compliance Officer Overview: The Chief Compliance Officer (CCO) will lead the compliance program for a global investment advisory firm. Ensure adherence to regulatory requirements across jurisdictions, including SEC regulations and international standards. Collaborate with senior management to foster a culture of compliance and integrity. Manage a team of compliance professionals, providing leadership and development opportunities. Oversee compliance considerations across public and private investment strategies, including high-risk MNPI matters. Develop training programs to promote awareness of compliance obligations globally. Coordinate compliance activities across multiple international offices to ensure consistent standards. Drive the evolution of the compliance framework to align with the firm's growth and regulatory changes. Chief Compliance Officer Key Responsibilities & DutiesLead and enhance the firm's established compliance program, ensuring alignment with regulatory requirements. Monitor regulatory changes and update policies and procedures accordingly. Serve as the primary point of contact for SEC examinations and regulatory interactions. Conduct compliance risk assessments and implement corrective action plans as needed. Oversee MNPI, trading controls, and sensitive information matters across investment strategies. Advise senior management on compliance matters, providing pragmatic and independent guidance. Ensure consistent compliance practices across international offices, addressing local requirements. Chair the firm's Compliance Committee, promoting cross-functional visibility and ethical conduct.

Chief Compliance Officer Job Requirements: Bachelor of Science (BS) degree required; JD with bar admission is a plus. Minimum 8 years of compliance experience within investment advisory or financial services. Preferred 20 years of experience, including leadership roles in compliance. In-depth knowledge of SEC regulations and the Investment Advisers Act of 1940.Strong understanding of international compliance standards, especially in Europe and Asia. Proven ability to lead and develop compliance teams effectively. Experience with biotechnology or life sciences investments is advantageous. Excellent analytical, organizational, and communication skills with a proactive approach.