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# Chief Compliance Officer with an Asset Manager – Boston, MA


Role Overview for Chief Compliance Officer with an Asset Manager – Boston, MA
JRG Partners is proud to partner with a premier, growth-oriented asset management firm in their search for a distinguished Chief Compliance Officer (CCO). Based in the heart of Boston’s financial district, our client is a well-established investment adviser renowned for its sophisticated investment strategies, client-centric approach, and unwavering commitment to ethical standards.
This is a critical executive leadership position for a seasoned compliance professional to oversee and enhance the firm’s comprehensive compliance program. The CCO will serve as a strategic advisor to the executive management team and the Board of Directors, ensuring the firm operates with the highest level of integrity and in full alignment with all regulatory requirements.
In an era of increasing regulatory complexity and scrutiny, this role is more vital than ever. The ideal candidate will be a proactive and pragmatic leader, capable of navigating the intricate landscape of securities laws and providing insightful guidance that supports the firm’s strategic objectives. You will be responsible for fostering a robust culture of compliance that permeates every level of the organization, from the trading desk to client relations.
This position offers a unique opportunity to make a significant impact on a respected institution, shaping its compliance framework for the future while protecting its reputation and the interests of its clients. The CCO will report directly to the Chief Executive Officer and will have significant visibility across the entire organization, working collaboratively with legal, operations, risk, and investment teams.
We are seeking an individual with deep expertise, sound judgment, and the executive presence to confidently interact with regulators, senior executives, and clients. If you are a forward-thinking compliance leader looking to take on a challenging and rewarding role at a top-tier asset management firm, we encourage you to apply.
Key Responsibilities of Chief Compliance Officer with an Asset Manager – Boston, MA
The Chief Compliance Officer will have a broad and dynamic set of responsibilities, central to the firm’s operational and strategic success. Key duties include:
Regulatory Program Leadership
Design, implement, maintain, and continuously enhance the firm’s compliance program to ensure full adherence to all applicable laws, regulations, and rules. This includes performing the annual review as required by SEC Rule 206(4)-7.
Policy and Procedure Management
Develop, draft, and maintain the firm’s compliance manual, code of ethics, and all related policies and procedures. Ensure these documents are current, effective, and clearly communicated to all employees.
Expert Regulatory Guidance
Serve as the firm’s subject matter expert on the Investment Advisers Act of 1940, the Investment Company Act of 1940, and other relevant federal and state securities laws. Provide timely and practical advice to business units on compliance-related matters.
Risk Assessment and Mitigation
Conduct comprehensive, periodic compliance risk assessments to identify potential conflicts of interest, regulatory risks, and areas of vulnerability. Develop and implement strategies to mitigate identified risks effectively.
Monitoring and Forensic Testing
Establish and execute a robust monitoring and testing program to assess the firm’s adherence to its policies and procedures. This includes transactional testing, email review, and surveillance of personal trading activities.
Regulatory Liaison
Act as the primary point of contact for all regulatory bodies, including the SEC, FINRA, and state regulators. Manage all aspects of regulatory examinations, inquiries, and audits from inception to conclusion.
Employee Training and Education
Develop and deliver a comprehensive compliance training program for all new and existing employees. Foster a culture of compliance awareness and ethical behavior throughout the firm.
Regulatory Filings
Oversee the timely and accurate preparation and filing of all regulatory documents, including but not limited to Form ADV, Form PF, Section 13 filings (13F, 13G, 13H), and any other required submissions.
Marketing and Communications Review
Meticulously review and approve all marketing materials, client communications, RFPs, and social media content to ensure compliance with SEC advertising rules, GIPS standards, and other applicable regulations.
Anti-Money Laundering (AML) Oversight
Manage and oversee the firm’s AML and OFAC sanctions compliance programs, including customer identification procedures and suspicious activity reporting.
Reporting and Governance
Prepare and present regular, detailed compliance reports to senior management and the Board of Directors, highlighting key compliance metrics, identified issues, and remedial actions.
Vendor Due Diligence
Oversee the compliance due diligence process for third-party vendors and service providers to ensure they meet the firm’s regulatory and ethical standards.
Requirements for the Chief Compliance Officer with an Asset Manager – Boston, MA
The successful candidate will be a highly accomplished professional with a proven track record of leadership in asset management compliance. The specific qualifications we are seeking include:
Professional Experience
A minimum of 15 years of progressive and relevant compliance experience within an SEC-registered investment advisory firm. Direct experience serving as a CCO or Deputy CCO is highly preferred.
Educational Background
A Juris Doctor (J.D.) from an ABA-accredited law school is strongly preferred. A Bachelor’s degree from a top-tier university is required.
Expert Regulatory Knowledge
Demonstrated, expert-level understanding of the Investment Advisers Act of 1940, SEC regulations, and the broader regulatory framework governing asset management. Experience with various investment products and strategies (e.g., equities, fixed income, alternatives, private funds) is essential.
Leadership and Management Skills
Proven ability to lead, manage, and mentor a compliance team. Must possess a strategic mindset with the ability to operate both at a high level and in a hands-on capacity.
Integrity and Judgment
Unquestionable personal integrity, ethics, and professional maturity. Must possess sound judgment and the ability to make difficult decisions under pressure.
Communication and Interpersonal Skills
Exceptional written, verbal, and presentation skills. The ability to articulate complex regulatory issues in a clear and concise manner to a wide range of audiences, from junior analysts to board members, is critical.
Analytical and Problem-Solving Abilities
Strong analytical skills with a detail-oriented approach to identifying issues, evaluating risks, and implementing effective solutions.
Certifications
Relevant professional certifications such as Certified Compliance & Ethics Professional (CCEP) or Investment Adviser Certified Compliance Professional (IACCP) are considered a strong plus.
Benefits & Perks Offered
Our client is committed to attracting and retaining top talent by offering a highly competitive and comprehensive benefits package. They believe in investing in their employees’ well-being and professional growth. The package includes:
Competitive Compensation
A highly attractive base salary, annual performance-based bonus, and long-term incentive opportunities.
Comprehensive Health and Wellness
Top-tier medical, dental, and vision insurance plans for employees and their families. Includes access to a robust Employee Assistance Program (EAP) and corporate wellness initiatives.
Retirement Savings
A generous 401(k) plan with a significant company match to help you plan for your future.
Generous Time Off
A competitive Paid Time Off (PTO) policy, in addition to paid company holidays and sick leave, to support a healthy work-life balance.
Parental Leave
An excellent paid parental leave policy to support employees and their growing families.
Professional Development
A strong commitment to your career growth with financial support for continuing education, professional certifications, and industry conferences.
Work Environment
A collaborative, professional, and respectful work environment located in a modern office space in downtown Boston. Hybrid work flexibility may be available.
Additional Perks
Commuter benefits, life and disability insurance, and various employee discount programs.
How to Apply
JRG Partners has been exclusively retained for this Chief Compliance Officer search. To be considered for this exceptional opportunity, please submit your resume and a cover letter detailing your qualifications and interest in the role. All applications will be treated with the strictest confidence. We encourage you to explore our firm’s expertise in this area by visiting our Financial Services practice area experts. We look forward to reviewing your application and discussing how this role aligns with your career aspirations. Our client is an Equal Opportunity Employer and values diversity in the workplace.