Chief Compliance Officer Overview • The Chief Compliance Officer (CCO) will lead the compliance program for a global investment advisory firm. • Ensure adherence to regulatory requirements across jurisdictions, including SEC regulations and international standards. • Collaborate with senior management to foster a culture of compliance and integrity. • Manage a team of compliance professionals, providing leadership and development opportunities. • Oversee compliance considerations across public and private investment strategies, including high-risk MNPI matters. • Develop training programs to promote awareness of compliance obligations globally. • Coordinate compliance activities across multiple international offices to ensure consistent standards. • Drive the evolution of the compliance framework to align with the firm's growth and regulatory changes. Chief Compliance Officer Key Responsibilities & Duties • Lead and enhance the firm's established compliance program, ensuring alignment with regulatory requirements. • Monitor regulatory changes and update policies and procedures accordingly. • Serve as the primary point of contact for SEC examinations and regulatory interactions. • Conduct compliance risk assessments and implement corrective action plans as needed. • Oversee MNPI, trading controls, and sensitive information matters across investment strategies. • Advise senior management on compliance matters, providing pragmatic and independent guidance. • Ensure consistent compliance practices across international offices, addressing local requirements. • Chair the firm's Compliance Committee, promoting cross-functional visibility and ethical conduct. Chief Compliance Officer Job Requirements • Bachelor of Science (BS) degree required; JD with bar admission is a plus. • Minimum 8 years of compliance experience within investment advisory or financial services. • Preferred 20 years of experience, including leadership roles in compliance. • In-depth knowledge of SEC regulations and the Investment Advisers Act of 1940. • Strong understanding of international compliance standards, especially in Europe and Asia. • Proven ability to lead and develop compliance teams effectively. • Experience with biotechnology or life sciences investments is advantageous. • Excellent analytical, organizational, and communication skills with a proactive approach.