Chief Compliance Officer/Counsel

4 weeks ago


Newport Beach CA, United States Frederick Fox Full time

Job Description:

The Chief Compliance Officer (CCO) will oversee and manage all aspects of the firm's compliance program to ensure adherence to regulatory requirements, industry standards, and internal policies. This individual will be responsible for establishing, implementing, and maintaining effective compliance policies, procedures, and controls tailored to the firm's operations.

Key Responsibilities:

  1. Regulatory Compliance: Monitor and interpret regulatory developments relevant to the investment management industry. Ensure the firm's activities comply with applicable laws, rules, and regulations (e.g., SEC, FINRA, etc.).
  2. Policy Development: Develop, review, and update compliance policies and procedures to reflect changes in regulations and industry best practices. Communicate and train employees on compliance-related matters.
  3. Risk Assessment and Management: Conduct risk assessments to identify and mitigate potential compliance risks. Develop and implement strategies to address identified risks effectively.
  4. Reporting and Record-Keeping: Maintain accurate records and reports related to compliance activities, including filings, audits, and examinations. Prepare and submit required regulatory filings as necessary.
  5. Internal Investigations: Oversee and conduct internal investigations into compliance issues, conflicts of interest, and breaches. Develop corrective action plans and monitor their implementation.
  6. Collaboration and Education: Collaborate with different departments to embed a culture of compliance. Provide guidance and training to employees on compliance matters.

Qualifications:

  • Juris Doctorate.
  • Public and Private Equity experience.
  • Strong experience with MNPI (Material Nonpublic Information).
  • 8+ years of experience in compliance roles within the investment management or financial services industry, with a strong understanding of relevant regulations and industry practices.
  • Excellent knowledge of SEC regulations, compliance best practices, and industry standards.
  • Strong analytical skills, attention to detail, and ability to work independently and collaboratively.
  • Excellent communication skills with the ability to effectively interact with regulators, senior management, and employees at all levels.

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