Deputy Chief Compliance Officer
About the Company
Well-established traditional & alternative credit manager
Industry
Financial Services
Type
Privately Held
About the Role
The Company is in search of a Deputy Chief Compliance Officer to take on a pivotal leadership role in overseeing and managing the compliance function across the entire firm. The successful candidate will be responsible for ensuring adherence to regulatory requirements across a diverse range of investment platforms, including mutual funds, hedge funds, private credit funds, and separately managed accounts. This includes assuming overall day-to-day responsibility for compliance operations, managing a strong compliance team, and continuously enhancing a comprehensive compliance program. The role also involves developing and implementing effective compliance strategies, policies, and procedures, as well as monitoring and assessing regulatory developments to ensure proactive compliance practices. Applicants for the Deputy Chief Compliance Officer position at the company should have a minimum of 12 years' experience in the investment management industry, with a strong focus on compliance. A proven track record in a managerial role, thorough knowledge of investment-related regulatory requirements, and familiarity with credit, fixed income, and debt instruments are essential. The role requires direct experience with relevant regulatory filings, an excellent understanding of financial products, markets, and industry trends, and exceptional communication and interpersonal skills. The Deputy Chief Compliance Officer will also be expected to provide advice and training on securities rules, regulations, and firm policies, and to mentor a team of compliance professionals, fostering a culture of excellence and continuous improvement.
Travel Percent
Less than 10%
Functions
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