Job Description

Director, Chief Compliance Officer (CCO) Financial Services

Were retained on a Chief Compliance Officer search for a growing financial services firm as they are set to acquire a Credit Focused Investment Management firm in Orlando. With this acquisition, they are looking to put an experienced CCO in place who can build and lead the compliance program.

Expected transaction completion early to mid?February; the hire should be in place around that same time.

Pay & Compensation

Base pay range: $180,000 $200,000 per year. Discretionary bonus and equity compensation may also be provided.

Responsibilities

• Oversee all of the compliance program, acting as the responsible Compliance point of contact for all regulatory requirements, including regulatory filings and regulatory interactions, and preparations for regulatory examinations.
• Manage SEC filings, including Form ADV, Form PF, and others.
• Build upon existing compliance policies and procedures, aligning the firm with regulatory requirements, industry best practices, and the existing Compliance Manual and Code of Ethics.
• Work with the wider group CCO to ensure consistency at a group level and ensure the business policies are uniform.
• Monitor all investment transactions to ensure compliance with relevant regulatory policies.
• Provide regulatory review of all marketing materials and investor communications.
• Work with executive leadership to create a robust program that facilitates business growth and development.

Qualifications

• Bachelors degree (JD preferred but not required).
• Strong preference for experience in a private credit firm, with extensive understanding of SEC regulations and frameworks, including the Investment Advisers Act and laws and requirements relevant to private funds.
• Minimum of 7+ years of experience in a senior compliance position, ideally within another Credit Investment Manager.
• Experience guiding an institution through an SEC regulatory examination.

Contact

Please email Thomas Byrne at thomas@pinnaclecareercoach.com for more information.

Seniority Level

Director

Employment Type

Full?time

Job Function

Legal

Industries

Investment Management and Financial Services

Job Tags

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