Chief Compliance Officer, GAM US
Core
Leads the development, implementation, and administration of the regulatory compliance program for a U.S. registered investment adviser (RIA) and oversees compliance for investment products and funds.
Role type
Senior IC Chief Compliance Officer (Investment Advisers Act)
Builds
Comprehensive compliance framework, policies, procedures, and controls for SEC-registered investment advisers and funds
Domain
U.S. Securities Regulation / Investment Management
Required skills
U.S. securities laws expertise, SEC registration experience, regulatory risk assessment, compliance monitoring and testing, fund governance, conflict of interest management, regulatory reporting, stakeholder management
Preferred skills
Experience with Form ADV preparation, knowledge of Investment Company Act of 1940, expertise in marketing and advertising compliance, training program development
Technologies
Form ADV, SEC filing systems, compliance management information systems
Responsibilities
Lead the RIA's regulatory compliance program including policies, procedures, and controls; Serve as the designated Chief Compliance Officer pursuant to Rule 206(4)-7; Coordinate regulatory risk assessments, monitoring, testing, and surveillance; Advise on regulatory developments and new investment products; Establish compliance arrangements for funds subject to the Investment Company Act of 1940; Represent the RIA during regulatory examinations and audits; Develop compliance metrics and reporting for management and governance bodies.
Seniority
Senior, hands-on IC