About the job
A well-established, New York-based alternative investment manager is seeking an experienced Chief Compliance Officer to lead the firm's compliance function. The firm manages capital across performing credit, stressed and distressed special situations, and equities for a diverse institutional investor base.
This is a high-impact, standalone leadership role — reporting directly to Chief Legal Officer— offering the opportunity to shape and own the compliance programme of a respected, high-Responsibilities:
Own and continuously develop the firm's compliance programme, policies and procedures in line with SEC requirements and investment adviser regulations
Serve as the firm's designated CCO and primary point of contact for regulatory authorities, including managing SEC examinations and inquiries
Provide expert guidance on compliance matters across the firm's investment strategies, including credit, distressed situations, and public equity positions
Advise on activist and event-driven investing activity, including Schedule 13D/G filings, Section 16 reporting, and related securities law requirements
Monitor trading activity, manage the personal account dealing policy, and oversee insider trading controls and restricted lists
Review and approve marketing materials, investor communications, and fund documentation for regulatory compliance
Administer the annual compliance review and deliver training across the business
Support and advise the investment team on complex deal structures, counterparty agreements, and regulatory constraints
Manage relationships with external counsel and regulatory advisers
What we're looking for
8–12 years of compliance experience within an SEC-registered investment adviser, hedge fund, or alternative asset manager
Deep working knowledge of the Investment Advisers Act of 1940 and associated SEC rules and guidance
