Chief Compliance Officer, Asset Management

<p><b>Chief Compliance Officer, Asset Management</b></p><br><p><b>About the Company</b></p><p>Expanding asset management firm dedicated to providing exceptional financial services.</p><p><b>Industry</b><br>Financial Services</p><p><b>Type</b><br>Privately Held</p><br><p><b>About the Role</b></p><p>The Company is seeking a dynamic Chief Compliance Officer (CCO) to spearhead the development and enhancement of a comprehensive compliance program for our expanding asset management operations. The ideal candidate will play a vital role in ensuring SEC regulatory readiness and preparing for the potential registration as a Registered Investment Adviser (RIA). This position offers an opportunity to lead the integration of innovative compliance technologies, including AI-driven tools, while establishing a robust compliance framework tailored to current and future registration requirements.</p><p>The CCO will be instrumental in maintaining a strong governance policy framework, overseeing compliance monitoring and testing programs, and ensuring meticulous preparation for regulatory reviews and examinations across both the U.S. and Canada. Candidates should possess a Bachelor's degree; a JD or MBA is preferred. A deep understanding of SEC investment adviser regulations is essential, along with significant experience in leading investment management compliance programs. Familiarity with the Advisers Act, SEC examinations, Form ADV, marketing rules, and regulatory enforcement expectations is crucial. Additionally, candidates should exhibit a solid background in Canadian regulatory compliance, with a proven ability to interact effectively with Canadian securities regulators.</p><p>This role is perfect for a strategic leader who can build and lead a comprehensive compliance program, ensure adherence to regulatory obligations, and skillfully manage the compliance function across the organization.</p><p><b>Travel Percent</b><br>Less than 10%</p><p><b>Functions</b></p><ul><li>Legal</li></ul>