Deputy Chief Compliance Officer

📋 Description

• Lead daily compliance operations including adviser, fund, guideline, broker-dealer, and due
• Oversee Advisers Act programs, portfolio management, trading, conflicts, marketing, and regulatory
• Direct Rule 38a-1 activities: annual reviews, testing, service-provider oversight, board reporting.
• Manage pre- and post-trade guideline monitoring, exception governance, and regulatory adherence.
• Develop risk-tiered due diligence for sponsors, advisers, portfolio managers, and providers.
• Lead regulatory exams and remediation with SEC, CFTC, NFA.

🎯 Requirements

• 12+ years investment management compliance experience, with leadership in ETFs and 38a-1/206(4)-7.
• Experience with complex products: options, swaps, futures, leverage, inverse, commodity, digital
• Strong regulatory knowledge for advisers, funds, broker-dealers, and financial activities.
• Led exams, remediation, risk assessments, surveillance, testing, and compliance reporting.
• Skilled in data, automation, technology, and AI for compliance, with human oversight.
• Excellent communication with senior leaders, boards, regulators, and teams.

🎁 Benefits

• Competitive senior-level compensation, based on experience.
• Remote work within the United States.
• High-impact leadership with broad investment and ETF compliance scope.
• Exposure to senior executives, boards, trustees, legal, and regulators.
• Opportunity to modernize compliance with data and AI.
• Potential to assume CCO responsibilities over time.