Deputy Chief Compliance Officer
About the Company
Internationally acclaimed fixed-income investment management firm
Industry
Investment Management
Type
Privately Held
Founded
1971
Employees
1001-5000
Categories
Business Classifications
About the Role
The Company is seeking a Deputy Chief Compliance Officer with a strong background in fixed income instruments and derivatives to join their high-performance inclusive culture. The successful candidate will be responsible for providing strategic leadership and oversight for a broad range of compliance work, particularly in administering the firm's compliance program. This role demands a professional with deep investment management expertise, the ability to lead various aspects of the investment adviser compliance program, and a proven track record of success in a legal and compliance organization. The Deputy Chief Compliance Officer will also be expected to interact with clients, provide regular reporting on compliance risks, and assist in the development and execution of compliance projects. Applicants for this role at the company should have a J.D. with excellent academic credentials and significant compliance experience in a large and diverse investment management firm. The ideal candidate will have a strong knowledge of regulatory requirements, particularly those applicable to investment management firms, and a background in fixed income and derivatives. Management experience, a series of progressive roles in compliance, and a successful leadership track record are essential. The role requires an individual with a strong sense of integrity, capable of performing in line with the firm's core values, and with the ability to engage with regulators and develop relationships with both internal and external stakeholders. Deep investment management expertise in the U.S. mutual fund space is essential, and experience with alternative and private funds is a plus.
Hiring Manager Title
Vice President, Senior Compliance Officer
Travel Percent
Less than 10%
Functions
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