Deputy Chief Compliance Officer
J
JobgetherInvestment Management
Remote work arrangement within the United States.Full-TimeSenior
Salary not disclosed
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Job Details
- Experience
- 12+ years of progressive investment management compliance experience
- Required Skills
- ComplianceRisk Management
Requirements
- 12+ years of progressive investment management compliance experience.
- Significant leadership responsibility for ETF, Rule 38a-1, and Rule 206(4)-7 programs.
- Demonstrated experience with complex investment products, including options, swaps, futures, leverage, inverse strategies, commodity interests, or digital assets.
- Previous experience as a Deputy CCO, named CCO, or senior compliance leader in a multi-series fund complex or ETF platform.
- Proven ability to simplify processes, strengthen controls, and build scalable systems.
- Strong understanding of regulatory frameworks for investment advisers, investment companies, and broker-dealers.
- Experience leading regulatory examinations, remediation programs, and service-provider oversight.
- Ability to use data, automation, and AI thoughtfully to improve compliance operations.
- Excellent written and verbal communication skills.
- Strong interpersonal skills for collaborating with executives, fund boards, and regulators.
- Relevant professional credential is an asset.
Responsibilities
- Lead the day-to-day operation of the enterprise compliance function, integrating investment company, investment adviser, investment guideline, broker-dealer, and due diligence compliance.
- Oversee Advisers Act compliance programs, including portfolio management, trading, best execution, conflicts of interest, and marketing disclosures.
- Direct Rule 38a-1 compliance activities across multiple ETF trusts, including annual reviews and risk-based testing.
- Manage pre-trade and post-trade investment guideline monitoring and broker-dealer infrastructure per SEC and FINRA requirements.
- Prepare for and manage responses to regulatory examinations, inquiries, and remediation involving the SEC, CFTC, and NFA.
- Leverage data, automation, and AI to strengthen surveillance, testing, issue management, and board reporting.
- Serve as the senior escalation point for material compliance risks and exercise delegated authority to halt business actions when necessary.
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