Head of RIA Compliance

Head of RIA Compliance

About the Company

Accomplished investment management firm

Industry
Financial Services

Type
Privately Held

About the Role

The Company is seeking a Head of RIA Compliance to lead the development and execution of compliance strategies, ensuring adherence to regulatory standards and industry best practices. The successful candidate will act as a strategic partner to executive leadership, providing expert guidance on compliance matters and structured credit transactions. Key responsibilities include designing, implementing, and maintaining compliance programs aligned with SEC regulations, drafting and managing compliance reports, and serving as the primary liaison with regulatory bodies. The role also involves developing and overseeing compliance manuals, policies, and procedures, as well as conducting annual compliance reviews and ongoing monitoring to identify and address potential risks.

Applicants must have a Bachelor of Science degree, with advanced degrees or certifications preferred, and a minimum of 10 years' experience in RIA/private markets compliance. Extensive knowledge of the Investment Advisers Act of 1940 and structured credit transactions is essential, as is prior experience as a Chief Compliance Officer or Deputy CCO for a registered investment adviser. The role requires strong problem-solving, organizational, and communication skills, attention to detail, and the ability to collaborate effectively with executives and investment teams. Experience in developing and managing compliance manuals, policies, and procedures is also a key requirement.

Travel Percent
Less than 10%

Functions

Finance