Chief Compliance Officer Job Description Template

The chief compliance officer owns the firm’s regulatory obligations and the program that keeps it inside them. That covers registration, the compliance manual, personal trading, marketing review, trade surveillance and examination readiness. The role carries individual accountability, so it needs somebody willing to be unpopular and precise about it, and it works best when compliance is built into how the firm operates rather than applied afterwards.

Typical Duties and Responsibilities

• Own the compliance program, manual and annual review
• Manage regulatory registrations, filings and ongoing reporting obligations
• Oversee personal account dealing, gifts, entertainment and conflicts policies
• Review marketing materials, investor communications and performance claims
• Run trade surveillance and investigate exceptions
• Deliver compliance training across the firm
• Manage regulatory examinations and respond to information requests
• Advise the investment team on restricted lists, MNPI and market conduct
• Maintain the code of ethics and the associated attestations
• Report compliance matters to the board and to investors during due diligence

Education

• Bachelor’s degree; a law degree or a compliance qualification is common

Required Skills and Experience

• 7+ years of compliance experience in asset management
• Detailed knowledge of the regulatory regime the firm operates under
• Experience running a regulatory examination end to end
• Understanding of material non public information and how funds get this wrong
• Ability to advise investment staff practically rather than defensively
• Experience with trade surveillance and personal trading systems
• Precise written work, since the record is the defense
• Willingness to escalate and to be unpopular when necessary

Preferred Qualifications

• Legal qualification or a recognized compliance certification
• Experience across multiple jurisdictions