Chief Compliance Officer (CCO) Greater New York City, NY Area

The Company is in search of a Chief Compliance Officer (CCO) for its SEC-registered investment adviser. This pivotal role demands a seasoned professional with a minimum of 8 years' experience in investment adviser compliance, including a background as a CCO or deputy CCO. The successful candidate will be the independent authority on the design, execution, and effectiveness of the compliance program, serving as the primary point of contact with the SEC. Responsibilities include maintaining the firm's policies and procedures, conducting annual compliance reviews, providing compliance advice on a range of matters, and overseeing key financial partners and vendors from a compliance perspective. The CCO will also be instrumental in shaping the customer onboarding strategy and building and maintaining the firm's anti-money laundering program. Applicants for the CCO position at the company should possess a deep working knowledge of the Advisers Act and SEC expectations, as well as direct experience in supporting SEC examinations and interfacing with regulators. Experience in the fintech space is essential, and a background in building or scaling a compliance program at a high-growth company is a plus. The role requires sound, independent judgment, AI fluency, and the ability to make and defend compliance decisions in real time. The ideal candidate will have a proven track record of building controls and leading program design initiatives in partnership with engineering teams and cross-functional partners.

Hiring Company

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