What are the responsibilities and job description for the Chief Compliance Officer position at Danos Group?
Our client, a global investment manager, is looking to hire a Chief Compliance Officer to their US team. The ideal candidate will have experience working with 40 Act funds and the ability to operate in a start-up environment.
Responsibilities:
- Design, execute, and oversee robust compliance frameworks tailored to the unique regulatory obligations of registered investment advisers (RIAs), registered investment companies (RICs), and issuers, ensuring full conformity with U.S. federal securities laws, including but not limited to the Securities Act of 1933, the Investment Advisers Act of 1940, and the Investment Company Act of 1940.
- Oversee adherence to the organization’s Code of Ethics, investigating and resolving any ethical or compliance concerns in line with policy.
- Partner with executive leadership to advise on compliance strategies and operational processes that support regulatory alignment.
- Proactively identify potential compliance risks, implement measures to minimize exposure, and provide strategic input on risk management approaches.
- Ensure accurate and timely preparation and filing of required regulatory documents and disclosures under the applicable laws, including those mandated by the SEC and other regulatory bodies.
Requirements
- 10 years of compliance experience within the financial services industry
- Strong knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, the Securities Act of 1933 and other applicable securities laws and regulations (including FINRA and SEC rules and regulations).
- Proven ability to manage compliance programs and regulatory filings for in scope US entities.
