Overview

A little bit about the role:

We are recruiting for an interesting, sophisticated role that requires some specific experience.

The alternative credit division of a long-standing asset management firm seeks a Chief Compliance Officer. The role could be based in Chicago, Boston or New York.

The successful candidate will have deep knowledge of the credit industry and be responsible for leading the implementation of the compliance program. Reporting to the General Counsel, this individual will lead, develop and motivate a small compliance team, while providing support to the credit business areas. The current CCO will continue to work within the legal and compliance team, but within a more dedicated legal role, which will create this exciting opportunity for a new hire.

What you will do:

  • Lead alternative credit compliance program partnering with legal team and risk on all regulatory developments, requirements and proposals
  • Partner with the business to ensure effective controls are in place to meet regulatory requirements; provide advice to management on how to comply with the laws and regulations; monitor the business units’ performance with compliance, and alert management to compliance gaps and issues
  • Work closely with other members of the Legal & Compliance team
  • Partner with investment, operations and finance teams to provide timely, creative, and thoughtful guidance on compliance matters for new and existing products
  • Monitor regulatory updates and improve or update the firm’s compliance program when necessary
  • Provide leadership, supervision, and training within the compliance department
  • Actively identify risks arising from business activities and facilitate their mitigation to acceptable levels
  • Implement, draft and update policies and procedures annually, as applicable
  • Prepare materials and participate in the presentation to key compliance related committees
  • Oversee preparation of regulatory filings

If you are interested in this role, please contact Jack Kelly at jkelly@compliancesearch.com

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