A well-established alternative investment manager is seeking a Chief Compliance Officer to lead the firm's compliance program across its SEC and CFTC/NFA regulatory obligations. Reporting directly to senior management, this highly visible leadership role will serve as a key advisor to the firm's leadership while partnering closely with the investment, operations, legal, and investor relations teams. The successful candidate will have broad responsibility for regulatory oversight, compliance strategy, policy development, regulatory examinations, and the continued enhancement of the firm's compliance program.
Responsibilities:
Lead the design, implementation, and administration of the firm's compliance program, including the annual compliance review and testing under Advisers Act Rule 206(4)-7 and the NFA Self-Examination Questionnaire
Manage all CFTC/NFA regulatory obligations, including CPO-PQR, CTA-PR, disclosure documents, exemption filings, NFA Bylaw 1101 due diligence, and registration/licensing
Oversee SEC regulatory filings and compliance, including Form ADV, Form PF, Forms 13F/13H, Section 16, Schedule 13D/G, and the SEC Marketing Rule
Administer the firm's Code of Ethics, including personal trading, gifts and entertainment, political contributions, and outside business activities
Oversee trade surveillance and market conduct monitoring across futures and FX, including position limits, large trader reporting, and exchange/SEF compliance
Serve as liaison for SEC, CFTC, and NFA examinations, audits, regulatory inquiries, and remediation efforts
Manage AML/KYC and OFAC screening in coordination with investor relations and fund administrators
Review marketing materials, investor communications, due diligence questionnaires, and offering documents for regulatory compliance
Monitor regulatory changes and update compliance policies, procedures, and internal controls
Deliver firm-wide compliance training, annual certifications, and ongoing regulatory guidance
Oversee compliance related to counterparties, fund administrators, prime brokers, FCMs, and other service providers
Report regularly to senior management on compliance risks, regulatory developments, policy enhancements, and remediation efforts
Requirements:
Bachelor's degree required
10+ years of compliance experience within the asset management industry
Previous experience as a Chief Compliance Officer, Deputy CCO, or senior compliance leader at a registered investment adviser, CPO, CTA, or similar alternative investment firm
Hands-on experience with SEC and CFTC/NFA regulatory frameworks
Strong knowledge of the Investment Advisers Act, Commodity Exchange Act, CFTC regulations, and NFA rules
Experience managing SEC, CFTC, and/or NFA examinations and regulatory inquiries
Excellent communication skills with the ability to translate complex regulations into practical business guidance
Highly organized, detail-oriented, and able to manage multiple priorities in a fast-paced environment
Hands-on leadership style with the ability to operate at both strategic and operational levels
Self-motivated, adaptable, and committed to delivering high-quality work under tight deadlines
The estimated base salary range for this position is $150,000-$250,000. The final salary within this range will be based on qualifications, experience, and other factors. Total compensation includes the opportunity to participate in a discretionary bonus plan and a comprehensive benefits program. Benefits include 401(k) plan with match; life insurance and disability plans; dental, vision, and accident insurance; continuing education reimbursement program; wellness reimbursement; paid parking and commuter costs; catered lunches; and social events.