Chief Compliance Officer

2 weeks ago

san francisco, United States Larson Maddox Full time

Company Overview:

Join a dynamic, tech-focused hedge fund with approximately $3 billion in assets under management. Known for a forward-thinking approach to technology investments, our firm seeks a dedicated, knowledgeable, and proactive compliance leader to guide the development and implementation of the firm’s compliance function. This is a pivotal role, as the Chief Compliance Officer will be the first in this position at our firm, establishing the compliance framework that will support our growth and operational integrity for years to come.


Position Overview:

The Chief Compliance Officer (CCO) will be responsible for designing, implementing, and managing the firm’s compliance program. Reporting directly to the CEO and working closely with senior leadership, the CCO will establish a compliance culture that aligns with both regulatory requirements and our strategic investment objectives. The ideal candidate has experience in hedge funds, a thorough understanding of SEC and regulatory requirements, and a strong background in compliance management, particularly in a tech-focused investment environment.


Key Responsibilities:


Develop and Oversee Compliance Program:

  • Build and manage the firm’s compliance framework, policies, and procedures ensuring full alignment with regulatory standards and best practices.
  • Oversee compliance with SEC regulations, including Form PF, Form ADV, and other required disclosures.

Risk Management & Monitoring:

  • Identify and assess compliance risks related to tech-focused investment strategies, implementing appropriate controls and monitoring systems.
  • Conduct regular audits and assessments of internal compliance processes, ensuring thorough tracking, documentation, and resolution of identified issues.

Training & Education:

  • Develop and lead compliance training programs for all employees to reinforce regulatory requirements and promote a firm-wide culture of compliance and ethical investing.
  • Provide targeted guidance and updates on changing regulatory landscapes, specifically as they impact tech investments.

Collaborate with Internal & External Stakeholders:

  • Work closely with portfolio managers, traders, analysts, and other key stakeholders to provide compliance support and consultation.
  • Act as the primary liaison with regulatory bodies and external legal advisors, ensuring a smooth and responsive communication channel for all compliance-related inquiries.


Qualifications:

  • 10+ years of relevant compliance experience in the hedge fund industry, with a strong preference for candidates experienced with tech-focused investment strategies.
  • Prior experience as a Chief Compliance Officer, Deputy CCO, or senior compliance leader preferred.
  • In-depth understanding of SEC, Investment Advisors Act, and the Dodd-Frank Act.
  • Bachelor’s degree in Finance, Law, Business Administration, or a related field (JD or Master’s degree is a plus).
  • Open to hybrid work and the ability to commute to northern San Francisco for on-site work for a majority of the working week.

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