Responsibilities
The Americas Chief Compliance Officer will be responsible for the compliance program for The Firm North America, a US registered investment adviser, and The Firm Canada, a Quebec exempt market dealer. The Firm North America has approximately 50 FTEs with investment teams covering CLOs, private debt secondaries, private equity and infrastructure, as well as a sales and business development team. The Firm Canada has approximately 4 FTE focused on business development and client services
The Chief Compliance Officer’s primary responsibilities include:
· Serve as the senior Americas Compliance professional and point of contact for investment teams, sales and marketing, operations, finance, etc. for the Group
· Enhance, update and implement a robust compliance program
· Develop, monitor, and oversee policies and procedures to prevent and detect violations of the Investment Advisers Act and related rules, as well as the Canadian rules
· Conduct testing and monitoring to assess the effectiveness of policies and procedures, and the firm’s adherence to applicable law and regulation
· Conduct or oversee the annual comprehensive review of compliance policies and procedures, as required by SEC Rule 206(4)-7(b)
· Ensure the completion of any necessary corrective action
· Oversee and deliver reporting to regulators, as well as internally to stakeholders
· Train employees on their obligations
· Primary point of contact for US and Canadian regulators
· Interact with the firm’s broader Compliance team to align policies and process globally
· Oversee and manage a junior compliance resource in New York and external compliance consultant in Canada
The Chief Compliance Officer will report to the Chief of International Regulatory and Compliance, as well as the Boards of for North America.
Profile
· 12-15 years of relevant experience, preferably at an alternative investment manager that is US Registered Investment Adviser
· Previous experience with an Exempt Market Dealer in Canada will be viewed favourably but not required
· Strong preference for broker-dealer experience in the context of alternatives distribution
· Experience or familiarity with European regulations is highly beneficial
· Experience with alternative investments with a particular preference for private debt
· Licenses required (or to be acquired shortly after joining): SIE, Series 7, Series 63, Series 24
· Strong communication skills (written and verbal) and ability to liaise with and influence senior internal and external stakeholders
· Strong academic background, a law degree is welcome but not required
· Ability to speak French is useful but not essential
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