Total Compensation is targeted at $450K - $550K. To be determined based on candidate's credentials, experiences, and potential value to the department / firm. Position is currently hybrid / midtown NYC.
Deputy Chief Compliance Officer
Position Overview:
Our client, a well-established Traditional and Alternative Credit Manager, is seeking a highly capable Deputy Chief Compliance Officer to join their team. This pivotal leadership role will primarily focus on overseeing and managing the compliance function across the entire firm, ensuring adherence to regulatory requirements across the platform, which includes mutual funds, hedge funds, private credit funds, and separately managed accounts.
Responsibilities will include (but not be limited to):
- Assume overall day-to-day responsibility for the compliance operations of the Investment Manager
- Manage and oversee all compliance activities, ensuring compliance with investment-related regulations and guidelines.
- Overseeing and managing a strong compliance team in the execution of their duties while assessing and continuously enhancing a comprehensive compliance program
- Develop and implement effective compliance strategies, policies, and procedures to mitigate risk and maintain regulatory compliance.
- Monitor and assess regulatory developments and industry trends to ensure proactive compliance practices.
- Collaborate closely with internal stakeholders, including investment teams, legal, risk management, business development and investor relations, and operations, to provide guidance and support on compliance matters.
- Ensuring compliance with applicable laws and regulations by coordinating input from a broad array of external and internal experts and stakeholders
- Providing transactional support to the investment teams
- Mentor and lead a team of compliance professionals, fostering a culture of excellence, collaboration, and continuous improvement.
- Provide advice and training to management and employees regarding applicable securities rules, regulations, and firm policies.
Qualifications:
- Minimum of 12 years of experience in the investment management industry, with a strong focus on compliance (compliance / legal / regulatory / operational).
- Proven experience in a managerial role, effectively leading and developing teams.
- Thorough knowledge of investment-related regulatory requirements and best practices.
- Familiarity with credit, fixed income, and debt instruments.
- Direct experience with relevant regulatory filings
- Excellent understanding of financial products, markets, and industry trends.
- Exceptional communication and interpersonal skills, with the ability to collaborate effectively with cross-functional teams.
- Superior analytic intelligence, engagement and ability to handle complex issues.