VP, Deputy Chief Compliance Officer

Job Description

Alder seeks a highly motivated, experienced, and organized individual to serve as Vice President, Deputy Chief Compliance Officer ("Deputy CCO") to report to the Senior Vice President, Head of Legal & Compliance.

Primary Responsibilities

• Serve as a key compliance leader, advising the SVP, Head of Legal & Compliance and senior management on compliance, regulatory, and supervisory matters
• Design, implement, and maintain the firm’s comprehensive compliance program pursuant to Rule 206(4)-7 under the Advisers Act
• Conduct and document the annual compliance review, including risk assessments and remediation plans
• Review and approve marketing materials and investor communications for regulatory compliance
• Lead the development, drafting, implementation, and maintenance of compliance policies and procedures designed to prevent violations of federal securities laws and mitigate compliance and operational risks
• Regularly review business practices against established policies and procedures and recommend enhancements
• Administer and provide reporting on the Code of Ethics, including personal trade pre-clearance and monitoring
• Partner with portfolio managers, traders, and client service teams on client investment guidelines, trading alerts, and related compliance matters
• Conduct client guideline reviews and oversee compliance rule coding within compliance systems
• Review and analyze trading and operational reports; perform forensic testing as needed
• Oversee and manage the compliance system monitoring the firm’s trading activity, including escalation and resolution of issues
• Provide compliance guidance related to portfolio management, trading, valuation, conflicts of interest, and best execution
• Manage SEC examinations, deficiency responses, and remediation efforts
• Identify, communicate, and implement regulatory changes and assess their impact on Alger’s business
• Develop and deliver compliance training for employees, including onboarding and annual training
• Foster a strong culture of compliance, ethics, and accountability across the organization
• Serve as a trusted advisor to senior leadership on regulatory and ethical matters
• Supervise, manage, and mentor junior Compliance Officers, including workload management, performance feedback, and professional development
• Review work product of junior staff to ensure accuracy, consistency, and regulatory adherence
• Delegate and oversee compliance testing, monitoring, and reporting activities

Qualifications

• Bachelor’s degree required; JD strongly preferred
• Cumulative GPA of 3.0 or above required in a 4.0 scale
• Minimum of 10+ years of compliance experience with an SEC-registered investment adviser or regulator
• Strong working knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, and applicable SEC and FINRA rules and regulations
• Strong judgment, independence, and ability to operate with appropriate authority

Skills

• Strong leadership and team-management skills with a collaborative approach
• Excellent written and verbal communication skills
• Ability to translate regulatory requirements into practical business solutions
• Strong organizational skills and attention to detail
• Ability to manage multiple priorities and deadlines
• High degree of integrity, discretion, and professionalism
• Advanced experience coding, operating, and overseeing compliance systems used to monitor investment guidelines and restrictions (specifically, Charles River)
• Strong proficiency in Microsoft Office, particularly Excel

Salary Expectations

$225,000-$250,000 base salary plus discretionary bonus based on individual and firm performance