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# Chief Compliance Officer with a Global Investment Firm – Boston, MA


Role Overview for Chief Compliance Officer with a Global Investment Firm – Boston, MA
JRG Partners is proud to partner with a premier global investment firm in its search for a distinguished Chief Compliance Officer (CCO). Based in the vibrant financial hub of Boston, MA, this executive leadership role is a cornerstone of the firm’s operational integrity and strategic growth. Our client is a multi-billion dollar asset manager with a diverse portfolio and a reputation for excellence, innovation, and unwavering ethical standards.
The CCO will be an integral member of the senior leadership team, responsible for the vision, strategy, and execution of the firm’s comprehensive global compliance program. This is a unique opportunity for a seasoned compliance professional to shape and uphold a culture of compliance that permeates every facet of the organization, from investment strategy to client relations.
The ideal candidate will be a strategic thinker with deep regulatory expertise, exceptional leadership skills, and the gravitas to advise the board and executive committee on the complex and ever-evolving landscape of investment management regulation. You will serve as the primary architect of the firm’s compliance framework, ensuring it not only meets but exceeds regulatory expectations while supporting the firm’s dynamic business objectives. This position demands a proactive and forward-thinking leader who can anticipate regulatory trends, mitigate potential risks, and champion a best-in-class compliance function that is viewed as a strategic partner to the business.
Key Responsibilities of Chief Compliance Officer with a Global Investment Firm – Boston, MA
The Chief Compliance Officer will have a broad and critical mandate, overseeing all aspects of the firm’s compliance program. Key responsibilities are extensive and require a hands-on yet strategic approach:
Regulatory Strategy and Leadership
Develop, implement, and continuously enhance the firm’s global compliance program to ensure adherence with all applicable laws, regulations, and industry best practices. Act as the primary liaison with regulatory bodies, including the SEC, FINRA, and international equivalents, managing all examinations, inquiries, and reporting.
Policy and Procedure Management
Design, draft, and maintain the firm’s Code of Ethics, Compliance Manual, and all related policies and procedures. Ensure these documents are current, comprehensive, and effectively communicated across the organization.
Advisory and Business Partnership
Provide expert, timely, and practical compliance advice to senior management and business units on a wide range of topics, including new product development, marketing and advertising, portfolio management, trading practices, and cross-border activities.
Risk Assessment and Mitigation
Conduct regular, firm-wide compliance risk assessments to identify, analyze, and mitigate potential areas of compliance vulnerability and risk. Develop and implement corrective action plans for resolution of problematic issues.
Monitoring and Surveillance
Oversee and enhance a robust monitoring and surveillance program covering employee personal trading, electronic communications, trade allocations, best execution, and other key risk areas. Utilize technology to improve the efficiency and effectiveness of surveillance activities.
Annual Compliance Review
Lead the annual compliance program review as required by Rule 206(4)-7 of the Investment Advisers Act of 1940, including forensic testing, and prepare a detailed written report for senior management and the board.
Regulatory Filings
Supervise the preparation and timely filing of all required regulatory documents, including Form ADV, Form PF, Section 13 filings, and other necessary disclosures.
Training and Education
Develop and administer a comprehensive, ongoing compliance training program for all employees, ensuring a high level of awareness and understanding of the firm’s policies and regulatory obligations.
Anti-Money Laundering (AML)
Serve as the firm’s designated AML Compliance Officer, overseeing the AML program, including KYC/CIP procedures, suspicious activity reporting (SARs), and OFAC screenings.
Team Leadership
Lead, mentor, and develop a team of compliance professionals, fostering a collaborative and high-performance culture. Manage the department’s budget and resources effectively.
Governance and Reporting
Prepare and present regular compliance reports and updates to the executive committee, board of directors, and relevant fund boards, providing clear insights into the state of the compliance program and emerging regulatory issues.
Requirements for the Chief Compliance Officer with a Global Investment Firm – Boston, MA
The successful candidate will be a highly accomplished professional with a proven track record of leadership in investment management compliance. The requirements for this role are stringent, reflecting its seniority and importance:
Educational Background
A Juris Doctor (J.D.) from an ABA-accredited law school is strongly preferred. A Bachelor’s degree in Finance, Economics, or a related field is required.
Professional Experience
A minimum of 15 years of progressive compliance experience within the investment management industry is essential. This experience must include a significant tenure in a senior leadership role (e.g., CCO, Deputy CCO) at a registered investment adviser.
Regulatory Expertise
Deep, expert-level knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and other relevant federal securities laws. Experience interacting directly with the SEC and other regulators is mandatory.
Global Perspective
Experience with international regulatory frameworks (e.g., UCITS, AIFMD) is highly desirable, reflecting the firm’s global footprint.
Asset Class Knowledge
Broad experience across various asset classes, including public equities, fixed income, alternatives, and private funds, is required.
Leadership and Management Skills
Demonstrated ability to lead and motivate a team of compliance professionals. Proven experience in building relationships and influencing stakeholders at all levels of an organization, from junior analysts to the Board of Directors.
Communication Skills
Exceptional written and verbal communication skills, with the ability to distill complex regulatory concepts into clear, concise, and actionable advice for a business audience.
Analytical and Problem-Solving Abilities
Superior analytical skills and a pragmatic, solutions-oriented mindset. Must be able to identify key issues, weigh risks and benefits, and make sound, decisive judgments under pressure.
Integrity and Ethics
Impeccable personal and professional integrity, a strong ethical compass, and the courage to challenge the status quo when necessary.
Benefits & Perks Offered
Our client is committed to attracting and retaining top-tier talent by offering a highly competitive and comprehensive compensation and benefits package. This includes:
Competitive Compensation
An attractive base salary, significant annual bonus potential, and long-term incentive/equity participation.
Comprehensive Health and Wellness
Premier medical, dental, and vision insurance plans for you and your dependents. A robust wellness program, including gym subsidies and mental health resources.
Retirement Savings
A generous 401(k) plan with a substantial company match and profit-sharing components.
Paid Time Off
A generous vacation, personal day, and sick leave policy, in addition to firm-wide holidays.
Family Support
Paid parental leave, dependent care support, and flexible spending accounts.
Professional Development
A significant budget for continuing education, industry conferences, and professional certifications to support your career growth.
Work-Life Balance
A commitment to a sustainable work-life balance, supported by a professional and respectful corporate culture.
Prime Location
A modern office located in the heart of Boston’s financial district, with easy access to public transportation and city amenities.
How to Apply
JRG Partners is managing this exclusive search. To be considered for this exceptional Chief Compliance Officer opportunity, please submit your resume and a cover letter outlining your qualifications and interest in the role. All applications will be treated with the strictest confidence. We encourage you to explore our expertise in placing top-tier executives by visiting our Financial Services practice area page. We look forward to reviewing your application and discussing how this role aligns with your career aspirations. JRG Partners and our client are Equal Opportunity Employers.