Chief Compliance Officer

Los Angeles based fund manager is seeking a Chief Compliance Officer to oversee the compliance function and ensure the firm is compliant with all industry regulations and firm compliance policies.

This position is responsible for:

• Implementing measures designed to ensure the firm’s compliance with applicable U.S. securities laws.

• Developing, maintaining, and testing specific compliance policies and procedures.

• Administering the firm’s code of ethics.

• Reviewing the compliance program annually.

• Updating the compliance program as regulatory and business changes are implemented.

• Maintaining regulatory filings.

• Conducting periodic trading for employees.

Successful candidates will have:

• Detailed knowledge of the U.S. securities laws, particularly the Investment Advisors Act, Investment Company Act, Securities Act, and anti-money laundering regulation.
• Candidates must have a minimum of five (5) years experience in a senior compliance position working with a registered investment advisor.
• Bachelor’s degree in related field. JD is preferred.