Chief Compliance Officer (CCO), Investment Management

The Company is seeking a Managing Director and Chief Compliance Officer to lead compliance for an investment adviser and fund complex. The role includes setting compliance strategy, conducting risk assessments, and overseeing annual testing, surveillance, and control improvements. The CCO will report to senior legal leadership, provide regular updates to the fund board, and serve as the primary contact for regulators, leading examinations and remediation. Responsibilities also include advising on new products and regulatory developments, building and mentoring a compliance team, managing its budget and technology priorities, and partnering with legal, risk, audit, and enterprise compliance functions. Candidates should have at least 12 years of investment management compliance experience, including substantial experience as a CCO or deputy CCO for an investment adviser and registered fund complex. Expert knowledge of the Investment Company Act and Investment Advisers Act of 1940 is required, along with a record of leading regulatory examinations and engaging directly with fund boards. Experience building and leading compliance teams and the ability to translate complex regulatory matters into clear recommendations are essential. A law degree is strongly preferred; relevant compliance certifications are an advantage.