Deputy Chief Compliance Officer

This job is no longer active. View similar jobs.

POST DATE 8/26/2016
END DATE 12/19/2016

The Compliance Search Group New York, NY

New York, NY
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #



Our client, an investment management firm, is seeking a Deputy Chief Compliance Officer to join their team. The Deputy Chief Compliance Officer ("DCCO") will assist the Chief Compliance Officer in administering the compliance program for the investment adviser. This person will be responsible for the oversight of the day-to-day compliance functions of the registered investment adviser. Reporting to the Chief Compliance Officer, the DCCO will lead, develop and motivate a team of seasoned compliance professionals supporting a variety of business units.


* Oversight of compliance of the firm's investment adviser operations partnering with Legal on all regulatory developments, requirements and proposals as applicable;
* Partner with the business to ensure effective controls are in place to meet regulatory requirements; provide advice to management on how to comply with the laws and regulations; monitor the business units' performance with compliance, and alert management to compliance gaps and issues;
* Provide leadership, supervision, and training within the compliance department;
* Responsible for compliance monitoring and testing related to 206(4)-7 and 38a-1;
* Actively identify risks and facilitate their mitigation to acceptable levels;
* Draft and update policies and procedures, as applicable;
* Responsible for the firm-wide training and education program; which includes annual compliance meeting;
* Oversee the Code of Ethics and Code of Conduct, includes the Personal Trading System for monitoring employees' personal securities transactions;
* Perform service provider oversight for the adviser and the mutual funds, which consist of sub- adviser, transfer agent, fund custodians and
* Prepare materials and participate in the presentation to key compliance related committees;
* Assist with managing regulatory exams and inquiries;
* Oversee preparation of regulatory filings; and
* Drive regulatory and special projects and ad hoc assignments as required;


* Bachelor's degreerequired;
* Minimum of 10 years relevant experience in a Compliance or Legal role of a registered investment adviser, with a proven track record of effectively managing, leading and developing highly efficient teams;
* In-depth Knowledge of the Investment Advisers Act of 1940, and Investment Company Act of 1940 with the ability to interpret applicable regulations is required;
* Excellent interpersonal skills with the ability to establish effective relationships across departments, and build credibility with senior leaders, providing guidance on all compliance matters and staying abreast of regulatory
* Strong analytical and problem solving skills, in addition to proficiencies in Microsoft


* Self-starting, and resourceful - someone who "makes it happen";
* Ability to manage multiple tasks;
* Strategic-thinker, analytical, problem solver;
* A collegial and collaborative team player capable of partnering both internally and externally;
* Strong sense of personal accountability and a work ethic to do what it takes to get the job done;
* Superior organizational and project management skills; ability to handle a diverse workload;
* Excellent communication skills; writing and interpersonal skills
* Meticulous and great attention to detail and accuracy; and
* Unquestionable integrity and ethical