Chief Compliance Officer

Location Options - Houston TX or Miami FLAbout company:North American asset manager with an AUM of $19 Billion USD and a focus on private equity, real estate and infrastructure. Why Join Us:Rare opportunity to build a North America-wide program at a scaled alternatives platform, with true authority and visibility, and a forward pathway to SEC RIA readinessCompany willing to invest in resources and deploy technology tools in service of the compliance programMulti-award winning company in best managed, most admired and best workplace categoriesResponsibilities:Build and mature an institutional-grade compliance program across Canada and the U.S., with a strong emphasis on SEC regulatory readiness and potential future RIA registrationPlay a leadership role in evaluating and integrating compliance technology, including AI-enabled tools to strengthen monitoring, testing, documentation and reporting capabilitiesEstablish and co-chair Compliance & Conflicts CommitteeImplement or optimize compliance systems/technology to support policy compliance monitoringStand up a risk-based monitoring & testing program with a documented calendar, evidence retention, findings tracking, and remediation governanceCreate a role-specific training program (Canada + U.S.) with completion tracking and effectiveness reviewEstablish robust regulatory filing/reporting discipline across Canada and the U.S.Demonstrate RIA-readiness pathway (gap assessment, remediation plan, mock exam / exam preparedness posture), while continuing to meet Canadian registrant obligationsBuild and own a compliance framework capable of supporting current Canadian registrations (IM and EMD) and U.S. registration status (SEC ERA), and future SEC RIA registrationMaintain and periodically test adherence to Canadian registrant obligations, including oversight of policies and procedures, supervision practices, recordkeeping, conflicts management, marketing practices, complaint handling, and outsourced service provider oversightOwn Canadian and U.S. regulatory filings and reporting calendars (e.g., NRD/National Registration Database obligations in Canada, IFM spreadsheets and RAQs for the OSC and Form ADV and related filings in the U.S.), ensuring accuracy, timeliness, and auditabilityLead readiness for regulatory reviews and examinations in both jurisdictions, including SEC examinations and OSC/CSA compliance reviews; coordinate responses, remediation, and documentationEstablish a policy governance framework (policy vs procedure vs guidance), and consolidate and modernize the existing policy suite to ensure it is enforceable, evidencable, and actively embedded through training, monitoring and testingDevelop and execute a risk-based compliance monitoring and testing program, including documented procedures, evidence retention, findings tracking, and remediation governancePrepare formal compliance reports for senior management and the relevant oversight committee(s), including trend analysis, material issues, and remediation statusSupport institutional LP due diligence and regulatory reviews, including compliance-related DDQs and ODD requestsRequirements:Essential education: Bachelor’s degree – Preferred Education: JD or MBADeep regulatory fluency in SEC investment adviser requirements; ideally you will have taken a firm through SEC RIA registrationDemonstrable experience leading and enhancing investment management compliance programs including Advisers Act, SEC examinations, Form ADV, marketing rule, books and records, and regulatory enforcement expectationsPreferred: Canadian regulatory competency: demonstrated experience owning or operating within a Canadian registrant compliance program and interacting with Canadian securities regulators (OSC/CSA).Location and travel requirements:Please note that you will need to reside in either Houston, TX or Miami, Fl in order to be in-office on a hybrid basisYou need to be willing to travel periodically to other business locations in the US and Canada