Role Description The Chief Compliance Officer is a full-time remote role responsible for designing, implementing, and overseeing the firm’s compliance program across all investment and operational activities. This role manages policies and procedures related to regulatory requirements, including securities, investment advisory, and data privacy obligations, and ensures they are understood and followed by team members. Daily responsibilities include monitoring and testing compliance controls, conducting risk assessments, reviewing marketing and fundraising materials, and overseeing compliance training for staff. The Chief Compliance Officer will collaborate closely with investment, finance, legal, and operations teams to address compliance issues, support audit and regulatory examinations, and maintain accurate and timely documentation. This role also provides leadership on ethical standards, advises senior management on emerging regulatory developments, and recommends improvements to strengthen the firm’s compliance culture.
Qualifications
- Strong expertise in Compliance Management, including designing, maintaining, and improving compliance frameworks and internal controls.
- Demonstrated experience with Regulatory Compliance, particularly in investment, securities, or financial services environments.
- Advanced Analytical Skills to evaluate risk, interpret regulations, analyze data, and develop practical compliance solutions.
- Excellent Communication skills, including the ability to explain complex requirements clearly and influence stakeholders at all levels.
- Solid understanding of Finance principles relevant to investment firms, fund structures, and transaction oversight.
- Prior leadership experience in a senior compliance role, ideally within private equity, venture capital, or asset management.
- Proven ability to work independently in a remote setting, manage multiple priorities, and maintain high attention to detail.
- Bachelor’s degree in law, finance, business, or a related field; advanced degree or professional certifications (e.g., JD, CPA, CFA, CRCM) are beneficial.
- Familiarity with North American and European regulatory regimes and experience interacting with regulators or external auditors is an advantage.
- Commitment to ethical conduct