Deputy Chief Compliance Officer

Overview

We are seeking an experienced Deputy Chief Compliance Officer to support and strengthen our enterprise-wide compliance program across SEC registered investment advisory activities including as advisor to a mutual fund complex and an OCC regulated trust company. This is a senior leadership role for a compliance professional who thrives in complex, highly regulated environments and enjoys partnering closely with business leaders, legal teams, and regulators.

Responsibilities

• Regulatory Leadership
  • Support firmwide compliance with SEC and OCC regulatory requirements.
  • Serve as a senior advisor on regulatory interpretation, risk assessment, and control design.
  • Monitor regulatory developments and assess impact across advisory, fiduciary, and investment management activities.
  • Help manage compliance obligations associated with OCC supervision and fiduciary standards.
  • Support OCC examinations, including preparation, examiner engagement, and follow-up remediation.
  • Aid in governance expectations, documentation standards, and escalation practices applicable to OCC regulated entities.
• SEC Compliance Program
  • Oversee and support key components of the SEC compliance program, including Advisers Act policies and procedures, conflicts of interest identification and mitigation, marketing and advertising review, Code of ethics and personal trading oversight, and assist with SEC examinations, inquiries, and ongoing program enhancements.
  • Help maintain and enhance compliance policies and procedures to ensure they are risk based, practical, and aligned with business practices.
  • Review and approve compliance guidance, disclosures, and internal standards.
  • Lead or support escalation and resolution of compliance issues.
  • Partner with Legal, Risk Management, and Internal Audit on issue tracking and remediation.
  • Contribute to compliance risk assessments and ongoing monitoring activities.
• Policies, Procedures & Controls
  • Help maintain and enhance compliance policies and procedures to ensure they are risk based, practical, and aligned with business practices.
  • Review and approve compliance guidance, disclosures, and internal standards.
• Leadership & Collaboration
  • Provide leadership, mentorship, and direction to members of the Compliance team.
  • Act as a delegate for the Chief Compliance Officer as needed.
  • Collaborate closely with senior management and business partners across the organization.

Required Qualifications

• Bachelor’s degree required; JD or advanced degree strongly preferred.
• 8–12+ years of experience in compliance, legal, regulatory, or risk management roles within financial services.
• Strong working knowledge of SEC investment adviser regulation.
• Experience supporting regulatory examinations and interacting with regulators.

Priorities

• Excellent judgment, communication skills, and ability to operate in a senior advisory capacity.
• Experience in an OCC regulated environment or with trust company operations.
• Background in wealth management, trust services, or investment management.
• Prior people management, mentor senior compliance leadership experience.