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Chief Compliance Officer

2 months ago

Doral, Florida, United States Larson Maddox Full time
Chief Compliance Officer Job Description

Larson Maddox is seeking a seasoned Chief Compliance Officer to oversee the registration of a new investment adviser focused on infrastructure. The ideal candidate will have a strong background in compliance and a deep understanding of the SEC's Marketing Rule.

Key Responsibilities:
  • Develop and implement a compliance program with tailored policies and procedures.
  • Conduct risk assessments and compliance reviews to address risk areas and conflicts of interest.
  • Ensure compliance with the SEC's 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, Form PF, and Sections 13 and 16, as needed.
  • Attend investor due diligence meetings.
  • Stay up-to-date with industry trends and changes in U.S. and international regulations.
Requirements:
  • Bachelor's 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.
  • Experience in infrastructure investing is highly desirable.
  • Fund formation experience is a plus.