Chief Compliance Officer (CCO)

cTrace Solutions • Midtown, NY

2d • $180,000 - $200,000 • Hybrid

About The Position

BizTek People is looking for an experienced Chief Compliance Officer (Asset management) in NYC! Location: Midtown, NY Schedule: Full -Time | Onsite/Hybrid (per client policy) Annual pay: $180k -$200k (DOE) Position requirements:

Requirements

• 10+ years of compliance experience at an SEC registered RIA (CCO experience preferred)
• Deep knowledge of SEC regulations (Investment Advisers Act, Rule 206(4)‑7) with ability to independently manage SEC examinations and regulatory interactions
• Proven compliance judgment and supervisory leadership
• Strong writing for policies/ADV/reports; high integrity and autonomy
• Business‑oriented, solution‑focused mindset (“How to make it work?”

Nice To Haves

• Experience with Aladdin or similar monitoring/OMS systems

Responsibilities

• Compliance Program Administration: Administer and maintain the annual compliance program, including identifying regulatory and operational risks and implementing effective policies and procedures to mitigate those risks.
• Manage annual and ongoing Form ADV Part I and II filings. Policies, Procedures, and Code of Ethics: Update and maintain the compliance manual and exhibits in accordance with applicable laws and regulations.
• Oversee the Code of Ethics, including personal trading reviews, certifications, and approval of securities transactions.
• Risk Assessment, Monitoring, and Testing: Conduct annual compliance risk assessments and ongoing monitoring, including best execution reviews, broker evaluations, internal controls oversight, electronic communications surveillance, and business continuity plan (BCP) testing.
• Training and Compliance Governance: Lead internal compliance meetings, participate in global compliance forums, and deliver quarterly firm -wide training and ad hoc regulatory education sessions. Submit required compliance reports to the parent company.
• Regulatory Examinations and Audits: Serve as the primary point of contact for SEC communications and examinations, managing onsite and remote exams. Support internal audits and assist with compliance -related reviews conducted by the parent company.
• Certifications, Reporting, and Attestations: Oversee portfolio manager and trader certifications, investment guideline attestations, and prepare and submit semi -annual confirmations of adherence to fund investment guidelines.
• Advertising, Disclosure, and Contract Oversight: Establish and maintain compliant processes for Rule 206(4) -1 advertising and marketing reviews, multi -channel content oversight, disclosure requirements, and review and negotiation of investment management agreements and related contracts

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed
• Number of Employees: 11-50 employees