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# Chief Compliance Officer with an Investment Manager – New York, NY



Role Overview for Chief Compliance Officer with an Investment Manager – New York, NY
JRG Partners is proud to partner with a prestigious, forward-thinking investment management firm based in the heart of New York, NY. Our client, a leader in managing diversified global portfolios, is seeking a seasoned and strategic Chief Compliance Officer (CCO) to join their executive team. This is a pivotal leadership role responsible for the oversight, administration, and continuous enhancement of the firm’s comprehensive compliance program. The CCO will serve as the primary architect of the firm’s regulatory framework, ensuring unwavering adherence to all applicable laws, regulations, and ethical standards.
The ideal candidate is a proactive and influential leader with deep expertise in the regulatory landscape governing registered investment advisers. You will be instrumental in shaping the firm’s culture of compliance, acting as a trusted advisor to senior management, the board of directors, and investment professionals.
This position requires not only a mastery of technical compliance matters but also the business acumen to integrate compliance seamlessly into the firm’s strategic objectives and daily operations. You will be empowered to build and lead a high-performing compliance team, fostering an environment of integrity, diligence, and continuous improvement. This is a unique opportunity to make a significant impact on a growing firm, protecting its reputation and enabling its continued success in a complex and ever-evolving financial market.
In this capacity, the CCO will be responsible for interpreting new and existing regulations, translating them into actionable policies and procedures, and effectively communicating their impact across the organization. You will manage all interactions with regulatory bodies, including the SEC, and oversee all compliance-related reporting and filings. The role demands a hands-on approach, from conducting detailed risk assessments and forensic testing to developing and delivering engaging training programs for all employees. Your leadership will ensure that compliance is not just a function, but a core value embedded in every facet of the firm’s activities.
Key Responsibilities of Chief Compliance Officer with an Investment Manager – New York, NY
The Chief Compliance Officer will have a broad and critical set of responsibilities, central to the firm’s operational integrity and regulatory standing. Key duties include:
Compliance Program Leadership
Design, implement, and maintain a robust, best-in-class compliance program. Annually review and assess the adequacy of the firm’s policies and procedures, recommending and implementing enhancements as necessary.
Regulatory Interpretation and Advisory
Serve as the firm’s subject matter expert on all relevant securities laws and regulations. Provide expert guidance to senior management and business units on compliance implications of new products, business strategies, and market activities. This includes a deep understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and other applicable federal and state securities laws.
Policy and Procedure Development
Draft, update, and disseminate clear and comprehensive compliance policies, procedures, and a code of ethics. Ensure these documents are practical, well-understood, and effectively implemented across the organization.
Monitoring and Surveillance
Develop and execute a risk-based compliance monitoring and testing program to assess the effectiveness of internal controls. This includes surveillance of employee personal trading, electronic communications, and investment activities to detect and prevent potential violations.
Regulatory Filings and Examinations
Manage and oversee all regulatory filings, including Form ADV, Form PF, and other required submissions. Act as the primary point of contact for regulatory inquiries, audits, and examinations conducted by the SEC and other authorities.
Risk Assessment
Conduct periodic, firm-wide compliance risk assessments to identify potential areas of vulnerability and risk. Develop and implement risk mitigation strategies and corrective action plans to address any identified issues.
Employee Training
Develop and administer a comprehensive compliance training program for all employees, including new hire orientation and ongoing education. Ensure the training is relevant, engaging, and effective in promoting a strong culture of compliance.
Marketing and Advertising Review
Review and approve all marketing materials, client communications, RFPs, and website content to ensure compliance with SEC advertising rules (Rule 206(4)-1) and other applicable regulations.
Anti-Money Laundering (AML)
Oversee the firm’s AML program, including customer identification program (CIP) and Know Your Customer (KYC) procedures, to ensure compliance with the Bank Secrecy Act and related regulations.
Reporting and Governance
Prepare and present regular compliance reports to the executive management team and the Board of Directors, detailing the status of the compliance program, identified risks, and key regulatory developments.
Requirements for the Chief Compliance Officer with an Investment Manager – New York, NY
Candidates must possess a distinguished track record in compliance leadership within the investment management sector. The following qualifications are essential for success in this role:
Educational Background
A Bachelor’s degree is required. A Juris Doctor (J.D.) or Master of Business Administration (MBA) is strongly preferred.
Professional Experience
A minimum of 12-15 years of progressive experience in legal and/or compliance roles within a registered investment adviser (RIA), asset management firm, or a regulatory agency. At least 5 years of experience in a senior leadership capacity (e.g., CCO, Deputy CCO) is required.
Regulatory Expertise
In-depth, expert-level knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, and other relevant federal securities laws. Experience managing SEC examinations is mandatory.
Leadership Skills
Proven ability to lead, manage, and develop a team of compliance professionals. Must demonstrate strong executive presence and the ability to influence and build consensus at all levels of the organization.
Analytical and Problem-Solving Abilities
Exceptional analytical skills with a demonstrated ability to assess complex regulatory issues, identify potential risks, and develop practical, business-oriented solutions.
Communication Skills
Superior written and verbal communication skills. The ability to articulate complex compliance concepts in a clear and concise manner to both legal and non-legal audiences is critical.
Integrity and Judgment
Unquestionable personal integrity, ethics, and professional judgment. Must have the confidence and stature to effectively challenge business practices when necessary.
Technical Proficiency
Familiarity with compliance management systems, electronic communications surveillance software, and other relevant technologies.
Benefits & Perks Offered
Our client is committed to attracting and retaining top talent by offering a highly competitive and comprehensive benefits package, which includes:
Competitive Compensation
A highly attractive base salary and a significant performance-based annual bonus.
Health and Wellness
Premium medical, dental, and vision insurance plans for employees and their dependents.
Retirement Savings
A generous 401(k) plan with a substantial company match to help you plan for your future.
Paid Time Off
A liberal paid time off (PTO) policy, including vacation, sick days, and company holidays.
Professional Development
A strong commitment to your career growth with support for continuing education, industry certifications, and conference attendance.
Work-Life Balance
A progressive and supportive work environment that values the well-being of its employees, offering flexible work arrangements where possible.
Additional Perks
Commuter benefits, wellness programs, and a modern office environment in a prime New York City location.
How to Apply
JRG Partners is exclusively managing the search for this exceptional Chief Compliance Officer opportunity. If you are a qualified and motivated compliance leader looking to make a significant impact within a dynamic investment management firm, we encourage you to apply.
To be considered for this position, please submit your resume and a cover letter detailing your relevant experience. For more information about our expertise in this area, please visit our Financial Services practice area page. We look forward to reviewing your application. JRG Partners and our client are Equal Opportunity Employers.