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Chief Compliance Officer
2 months ago
Larson Maddox, a leading Investment Management firm in Miami, is seeking a highly skilled Chief Compliance Officer to oversee the firm\u2019s compliance program. As a key member of the team, you will be responsible for ensuring the firm\u2019s adherence to regulatory requirements and industry standards.
Key Responsibilities:- Develop and implement a comprehensive compliance program, including tailored policies and procedures.
- Conduct regular risk assessments and compliance reviews to identify areas of improvement.
- Ensure compliance with the SEC\u2019s Marketing Rule for all marketing materials.
- Manage the anti-bribery and corruption program for both investors and investments.
- Develop and deliver compliance training for employees.
- Serve as the primary liaison with regulators for examinations, investigations, and routine inquiries.
- Handle regulatory filings, such as Form ADV and Form PF, as needed.
- Bachelor\u2019s degree required; a law degree is preferred.
- At least 7-10 years of in-house compliance experience with an SEC-registered investment adviser, ideally in the private equity space.
- Fund formation experience is a plus.
Larson Maddox offers a dynamic and challenging work environment, with opportunities for professional growth and development. If you are a motivated and experienced compliance professional, we encourage you to apply for this exciting opportunity.
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