Chief Compliance Officer (CCO)

The Company is seeking a Chief Compliance Officer to lead its enterprise-wide compliance function across multiple regulated entities and investment activities. The role includes establishing and strengthening compliance frameworks, policies, controls, testing, and supervisory processes, while translating regulatory developments into practical guidance. The CCO will assess regulatory risks in new products and business initiatives, lead regulatory examinations and remediation, and maintain audit-ready documentation. The position also oversees marketing compliance, third-party oversight, and vendor risk, while advising senior leaders and partnering across business functions. The CCO will foster a culture of ethics and accountability and build and develop a high-performing compliance team. Candidates should bring extensive experience leading compliance programs in regulated financial services and strong knowledge of investment adviser, broker-dealer, and registered investment company regulations. Experience managing regulatory agency interactions, examinations, and remediation is required, along with a record of developing compliance programs in changing regulatory environments. The ideal candidate can partner effectively with executives and business leaders, balancing regulatory obligations with commercial objectives. Hands-on team leadership, sound judgment, excellent communication, and the ability to explain complex regulatory matters as practical business guidance are essential.