Deputy Chief Compliance Officer

Innocap•New York, NY

2d•Hybrid

About The Position

Innocap is the world’s leading firm of managed account platform services. With over US$100 billion in assets under management, over 500 employees and offices in five countries, we are shaping the future of alternative investments for institutional owners and allocators. Our mission is to revolutionize the asset management industry and to provide customized expert services and an exceptional client experience. We are seeking forward-thinking individuals to join us on our exciting journey. Innocap’s success is built on the diversity of our people and the strength of their ambitions. We empower our teams and foster a culture of inclusivity, collaboration, innovation, and growth. At Innocap, you'll have the opportunity to enhance your career, work on exciting projects, and make a real impact. We are seeking a highly motivated Deputy Chief Compliance Officer to join our compliance team in the investment funds/dedicated managed accounts sector. The successful candidate will provide expert legal advice and guidance on regulatory and compliance matters related to the firm and its investment vehicles, including hedge funds, and separately managed accounts. This position requires a deep understanding of U.S. financial regulations and the ability to advise on regulatory issues in the investment funds space. This role involves close interaction with executive management, regulatory bodies and internal departments to maintain a culture of compliance while supporting the firm’s strategic objectives.

Requirements

Juris Doctor (JD) from an accredited law school.
Previous in-house experience at a financial services firm or investment management firm.
Previous experience in an in-house or outsourced compliance function.
Minimum of 5 years of legal experience within the investment management/financial services industry.
Extensive knowledge of U.S. securities laws and compliance requirements as applicable to private funds and managed accounts.
Experience with regulatory filings and compliance matters.
Excellent legal research, analytical, and writing skills.
Strong communication skills, with the ability to explain regulatory concepts in plain language.
Ability to adapt to changing regulatory landscapes and evolving business needs.

Responsibilities

Advise on the regulatory framework governing investment funds and managed accounts, including compliance with the Investment Company Act of 1940, Investment Advisers Act of 1940, the Securities Act of 1933 and ERISA.
Serve as the primary liaison between the firm and U.S. federal and state regulatory authorities, handling enquiries, examinations, and audits.
Monitor changes in regulations and advise on regulatory requirements and best practices.
Provide strategic advice on compliance matters, especially during the launch of new products and services.
Oversee regulatory filings and reports to the SEC, CFTC, and other US regulatory bodies, ensuring compliance with filing deadlines and requirements.
Review and prepare periodic reports for investors and regulatory authorities, including Form ADV, CPO/PQR and other regulatory filings.
Oversee Innocap U.S. entities’ compliance program, including policies and procedures.
Manage the U.S. Code of Ethics program, including reviewing and monitoring employee attestations and the personal trading compliance framework.
Establish and maintain controls and frameworks to monitor compliance with SEC and CFTC and other applicable regulatory bodies.
Lead annual and ad-hoc compliance risk assessments to evaluate program effectiveness.
Oversee the development and delivery of compliance training programs for employees, including annual mandatory training and ad-hoc training sessions for higher-risk areas.
Assist in the creation of compliance manuals and guides for internal stakeholders.

Benefits

Exposure to diverse alternative investment strategies
A culture that values creativity, proactivity, and continuous growth
Flexible hybrid work for better balance
A strong focus on service excellence and meaningful partnerships
Joining Innocap means being part of a passionate team where innovation is encouraged, and every voice matters.

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