Head of Investment Management Compliance

$250,000 – $325,000 total compensation (base + bonus) | Miami, FL (onsite)

Head of Investment Management Compliance

A true CCO title and real ownership, in Miami.

Overview

Designated-CCO roles over both an RIA and a '40 Act fund complex are hard to find, especially in South Florida. Our client, a growing wealth and trust organization with its own registered investment adviser and a family of proprietary mutual funds, is seeking a Head of Investment Management Compliance for its Miami office. Reporting to the firm's Chief Compliance Officer, you will act as CCO for the advisory business and the fund complex, own day-to-day compliance oversight, and be the go-to compliance partner for portfolio management, trading, and fund operations. It's the kind of role that defines the next stage of a compliance career.

Key Responsibilities

• Act as Chief Compliance Officer for the firm's RIA and affiliated '40 Act funds.
• Administer and continuously improve the Rule 38a-1 and Rule 206(4)-7 compliance programs, including the annual review.
• Prepare and present quarterly compliance reports to the fund board and senior leadership.
• Run forensic testing, trade surveillance, code of ethics monitoring, and personal trading reviews.
• Draft and update written policies and procedures with investment, operations, and fund accounting teams.
• Monitor new SEC rulemaking and translate it into practical guidance for the business.
• Coordinate SEC examinations, document requests, and external audits.
• Supervise and develop a small compliance staff.

Requirements

• 8+ years of compliance experience at an investment adviser, mutual fund complex, or bank/trust wealth platform.
• Working command of the Investment Company Act and Investment Advisers Act of 1940.
• Prior CCO, deputy CCO, or senior compliance officer experience strongly preferred; deputies ready to step up are encouraged to apply.
• Hands-on experience supporting regulatory examinations.
• Comfort presenting to boards and senior management, with sound judgment on when to escalate.
• Experience with MyComplianceOffice (MCO), ComplySci, or similar platforms.
• JD, CRCP, or IACCP designation a plus.

Ready for the CCO title? Apply below. All inquiries are handled confidentially.