Senior Compliance Officer Job at Alexander Chapman, Charlotte, NC

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  • Alexander Chapman
  • Charlotte, NC

Job Description

An established investment firm is looking for a Senior Compliance Officer to oversee its internal compliance program.

The role requires previous experience with the Advisers Act, insider trading rules, AML laws, and conflict of interest regulations.

Job Description

  • Support the CCO during SEC exams and manage regulatory inquiries.
  • Lead the annual compliance review and conduct testing across core policies.
  • Collaborate with Finance on regulatory filings (Form ADV, Form PF, etc.)
  • Manage day-to-day compliance operations, including onboarding/offboarding processes and Code of Ethics oversight.
  • Oversee compliance aspects of global fundraising, including third-party coordination and regulatory licensing.

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