Chief Compliance Officer
United States, US timezone overlap with San Francisco HQFull-TimeExecutive
Salary$200,000–$280,000 base + 20% bonus
Apply NowOpens the employer's application page
Job Details
- Experience
- 7–12 years
- Required Skills
- Risk Management
Requirements
- 7–12 years of compliance experience at a registered investment adviser (RIA), private fund platform, hedge fund, or PE firm.
- Deep knowledge of the Advisers Act, Reg D, Form ADV, and SEC examination standards for private fund advisers.
- Hands-on experience with multi-fund governance, sub-adviser monitoring, and conflicts of interest management.
- Familiarity with custody rules, AML/KYC frameworks, and cybersecurity compliance standards.
- Prior experience with SEC registration, Form ADV filings, and exam cycles.
- Entrepreneurial mindset with ability to build frameworks from scratch.
- Strong cross-functional communication skills across operations, finance, and legal.
- CPA, JD, CFA, or CCEP preferred.
- Exposure to European fund regulation or venture fund management is a plus.
Responsibilities
- Lead the SEC registration process including Form ADV Part 1A, 1B, and Part 2 Adviser Brochure.
- Design and implement written compliance policies covering portfolio management, conflicts of interest, fiduciary duties, custody, and AML/KYC.
- Conduct annual compliance reviews, testing, and manage SEC examination responses.
- Define staffing and systems infrastructure to meet SEC expectations for organizational substance.
- Establish procedures for monitoring sub-advised GPs and overseeing books and records management.
- Design compliance monitoring across the portfolio of funds and conduct due diligence on GP sub-advisers.
- Advise the US Platform Head on fund structuring, GP selection, and investor eligibility.
View Full Description & ApplyYou'll be redirected to the employer's site
