What are the responsibilities and job description for the Chief Compliance Officer position at Trevose Partners?
A leading technology-driven investment platform managing over $100B in assets, seeks an experienced Chief Compliance Officer to lead and evolve their compliance function.
Role Overview
We're seeking a strategic compliance leader to build and oversee comprehensive regulatory frameworks across multiple business lines. The ideal candidate will combine deep regulatory knowledge with an innovative mindset to support rapid business growth while maintaining robust compliance standards.
Responsibilities:
- Develop and lead a robust compliance framework that ensures alignment with regulatory standards.
- Serve as the primary point of contact for regulators, addressing inquiries and providing guidance to the business on regulatory matters.
- Provide oversight for data privacy compliance, ensuring protection of sensitive information in line with legal obligations.
- Assess the compliance impact of new business initiatives, ensuring all regulatory requirements are met prior to implementation.
- Monitor KYC/AML processes, ensuring they meet regulatory requirements and industry best practices.
- Address advertising compliance concerns, ensuring marketing activities are consistent with applicable regulatory frameworks.
- Manage and ensure timely and accurate completion of all necessary regulatory filings, including Form ADV, Form D, Blue Sky filings, Form U4/U5, and data privacy reports, in accordance with SEC, FINRA, state, and international regulatory requirements.
Qualifications:
- Bachelor's Degree, JD is a plus
- 10 years of progressive compliance experience within a FinTech or Investment Advisory firm.
- Comprehensive knowledge of Securities regulations (SEC, FINRA), Global Privacy laws (GDPR, CCPA), Private securities offerings requirements, and U.S. banking and payment regulations.
