Chief Compliance Officer

2 weeks ago

New York, United States Cardea Group Full time

General Counsel & Chief Compliance Officer++ (New York, NY): Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the team’s executive leadership committee and spearhead their compliance program efforts while also meaningfully contributing to their legal, IT, and HR efforts. The GC & CCO will be a strategic leader within the firm, collaborating with the CIO and CFO/COO to drive business decisions. This is an incredible opportunity for an extremely intelligent, motivated, and commercial legal and compliance professional to sit in a prestigious seat among a regarded group of individuals.


Key Points:

  • First GC & CCO hire for this fund with exposure to the entirety of the business
  • Fund is comprised of exceptional talent – this is a role for someone who wants to be surrounded by and elevated by tremendous individuals with impressive careers
  • Impact opportunity – this new hire will put their thumbprint on a fund at this critical inflection point of growth


Responsibilities:

  • Provide legal advice to the team regarding trade, employment, corporate, risk regulatory and other matters
  • Execute the core of the compliance program: monitor Code of Ethics, review marketing materials, provide trade surveillance, create policies and procedures, perform compliance testing, chaperone expert network calls and prepare all regulatory filings
  • Draft and negotiate contracts, offering documents, vendor agreements, NDAs, and other critical legal documents
  • Keep abreast of regulatory developments and industry trends to ensure the compliance program remains current and effective
  • Offer strategic advice to the PM and COO on business matters pertaining to legal, compliance, risk management, or anything that could use improvement – the team fosters an environment of elevating business practices
  • Advise the investment team on trade related inquiries and matters
  • Conduct compliance trainings, and work closely with the firm’s outside compliance consultant


Requirements:

  • 10 years (plus/minus) of regulatory compliance experience within an investment manager
  • JD required. Big law experience required.
  • Exemplary career achievements; individual must demonstrate a history of being a trusted advisor to internal parties
  • As part of a lean organization, the group focuses on talent surpass the focus of a job as everyone is a utility player and the reach that this person will have is far
  • Proactive mindset/a thought leader among their peers

Compensation: $250-300K base; $600-800K+ all-in

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