Fund Chief Compliance Officer
New
P
PINE Advisor SolutionsAsset management
We are open to hiring remote employees located anywhere in the US with prior Fund CCO experienceFull-TimeDirector
Salary$150,000 - $200,000
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Job Details
- Experience
- 15+ years of compliance experience in the asset management industry, with a focus on registered funds
- Required Skills
- People ManagementMicrosoft ExcelPowerPoint
Requirements
- Bachelor’s degree required; an advanced degree such as a JD or MBA is preferred.
- 15+ years of compliance experience in the asset management industry, focused on registered funds.
- Recent experience serving as named Chief Compliance Officer for registered funds or trusts is required.
- Expert knowledge of the Investment Company Act of 1940, including Rule 38a-1, the Securities Act of 1933, the Securities Exchange Act of 1934, and SEC rulemaking affecting registered funds.
- Deep expertise across open-end funds, ETFs, interval funds, closed-end funds, and BDCs, and fund events from launch to liquidation.
- Experience presenting to fund boards, including in executive session, and working directly with fund counsel, senior client management, and service providers.
- Experience leading SEC examinations of registered fund compliance programs.
- Strong people management experience, including hiring, coaching, and performance management.
- Excellent verbal, written, and presentation skills, including the ability to handle challenging conversations with boards and senior management.
- Proficiency in Microsoft Office, including Excel, PowerPoint, and Word.
Responsibilities
- Serve as named Fund Chief Compliance Officer and Anti-Money Laundering Compliance Officer for multiple 1940 Act registered fund clients.
- Own client relationships and serve as a senior contact for clients, fund legal teams, and service providers.
- Present to fund boards and prepare annual Rule 38a-1 reports and other CCO reports.
- Review compliance policies, procedures, and risk assessments for funds and service providers at least annually.
- Design, perform, and document control testing; review reports, investigate exceptions, assess conflicts, and make inquiries.
- Serve as the point of contact for SEC examinations and manage regulatory examinations, including SEC, NFA, and state examinations.
- Lead complex fund events and interpretive questions, and draft and review complex policies.
- Review registration documents and guide clients and service providers on regulatory requirements and industry best practices.
- Manage and develop Fund Compliance professionals, including hiring, coaching, and performance management.
- Lead business development for the Fund CCO service line and represent PINE at industry events.
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