Chief Compliance Officer (CCO)

Job Title: Chief Compliance Officer (CCO)Reports To: Chief Executive OfficerStatus: Full Time / ExemptLocation: Minneapolis, MN; Hybrid environment Apply Here: https://www.leutholdgroup.com/application/chief-compliance-officer Summary: This position plays a critical role in ensuring regulatory compliance and ethical practiceswithin the firm. We are seeking a strategic and risk-aware Chief Compliance Officer (CCO) to administer,oversee, and continuously enhance the compliance program. The CCO will also be critical in managingregulatory risk, supporting client trust, and fostering a culture of compliance throughout the company. Duties and Responsibilities:• Responsible for the implementation, administration, and ongoing oversight of the Firm’s compliance program required by Rule 206(4)-7 of the Investment Advisers Act of 1940, including addressing other applicable laws and regulations for investment advisers. • Responsible for the maintenance of policies and procedures, the monitoring and testing of policies and procedures, including maintaining the Compliance Manual.• Execute and administer the Code of Ethics including certifications, personal trading reviews, gifts and entertainment, outside business activities, political contributions, and pre-clearance monitoring.• Monitor and update the Risks and Conflicts Assessment.• Maintaining the relationship for the monitoring of the Multiple Series Trust (MST) Managed Portfolio Series (MPS) compliance program as it relates to the Leuthold mutual funds and exchanged traded funds.• Stay current with legal and regulatory developments affecting business activities.• Responsible for coordinating SEC examinations including documentation and response tracking.• Provides guidance and training to staff on compliance topics.• Produce and provide Compliance reporting as directed or requested, to keep the Board of Managers, as well as senior management informed of the operation and progress of compliance efforts.• Review and approve advertising materials, applications, and prospectuses for the Public Funds and Adviser.• Review client communications, advertising, social media, and website content in alignment with the SEC Marketing Rule.• Conduct research and assist in preparing documentation in response to client and/or regulatory inquiries.• Assist MPS with the preparation and submission of registered investment company filings regulatory filings.• Monitor and assist outside counsel in the preparation of investment adviser SEC filings as required.• Provide general administrative support including, but not limited to, records management, systems input, and maintenance of the compliance program.• Serve as the primary point of contact for employee and staff-related questions and issues regarding compliance issues and topics.• Participate in firm-wide cybersecurity, information security, and vendor management activities.• Perform other related duties or special projects as assigned. Skills:• Strong interpersonal communication skills, including written and verbal.• Possess outstanding organizational skills and the ability to balance multiple priorities.• Demonstrate problem solving ability, adaptability, flexibility, and detail orientation.• Proven ability to apply analytical and critical thinking skills.• Results driven, with the ability to take initiative and work with little supervision in an unstructured environment.• Demonstrated ability to collaborate effectively with others.• Ability to maintain confidentiality of client, employee, and company information.• Ability to maintain composure and make appropriate decisions under stressful conditions. Qualifications & Experience:• Bachelor’s degree required, preferably in compliance, finance, or related field. Compliance credentials preferred.• 7-10 years of progressive compliance experience with an investment adviser or investment company regulatory compliance or other relevant regulatory experience preferred.• Full understanding of the requirements of the Investment Advisers Act of 1940, the related rules, and other aspects of the regulatory regime for SEC-registered investment advisers; as well as knowledge of federal and state securities laws and regulations. • Experience with private investment funds and funds-of-funds as both sponsor and investor a plus.• Proficiency in Microsoft Office suite and demonstrated ability to learn and utilize various technology platforms. What We Offer:Leuthold offers a compensation package including a discretionary bonus program and benefits package to all full-time employees including paid time off, medical and dental insurance, 401(k) savings and retirement plan, health savings accounts with an employer contribution, term life insurance, short and long-term disability insurance, and a flexible benefit plan available for health care, dependent care, and transportation expenses. About Us: Founded in 1981 as an independent investment research firm, The Leuthold Group has been producing original analysis for the institutional marketplace for nearly half a century. Driven by the research, in 1987 the firm established its investment management arm which is centered on tactical asset allocation and disciplined quantitative methodologies. Apply Here: https://www.leutholdgroup.com/application/chief-compliance-officer