The Chief Compliance Officer (CCO) will be an integral part of S2G’s cross-functional operations team, working closely with Legal, Finance, Marketing, and Investor Relations professionals. The CCO will oversee the entirety of the firm's compliance program, providing strategic guidance and support to senior management. Additionally, the CCO will assist the legal team with other legal matters, broadening their impact on the firm's operations. This role offers the opportunity to influence the direction of the firm’s compliance efforts, ensuring that all operations align with industry best practices and regulatory requirements.
Desired Experience and Skills
Key Responsibilities:
1. Compliance Oversight
- Develop, implement, and maintain comprehensive compliance programs in accordance with SEC regulations and industry standards.
- Monitor and ensure adherence to all applicable laws, rules, and regulations governing investment advisers and private funds.
- Conduct periodic compliance reviews and assessments to identify and address potential compliance issues.
- Collaborate with compliance consultants to complete required compliance tasks.
- Review and approve all marketing materials and communications to ensure full compliance with the latest SEC Marketing Rule. Verify that all required disclosures and disclaimers are appropriately included and that claims are properly substantiated. Ensure accurate recordkeeping of all materials and substantiation documentation, in line with regulatory requirements.
2. Regulatory Reporting and Filings
- Prepare and file required regulatory reports and disclosures, including Form ADV, Form PF, and other relevant filings.
- Stay updated on regulatory developments and assist in interpreting regulatory changes for the organization.
3. Policies and Procedures
- Develop and update compliance policies, procedures, and controls to mitigate risks and ensure adherence to regulatory requirements.
- Provide guidance and training to employees on compliance matters, ethical standards, and best practices.
4. Internal Monitoring and Audits
- Conduct regular internal audits and reviews to assess the effectiveness of compliance programs and controls.
- Implement corrective actions and enhancements based on audit findings and regulatory feedback.
5. External Relationships and Audits
- Serve as the primary point of contact for regulatory examinations and external audits.
- Coordinate responses to regulatory inquiries and ensure timely and accurate reporting.
- Manage relationships with compliance consultants, ensuring all external compliance needs are met.
6. Compliance Training and Awareness
- Develop and deliver compliance training programs to educate employees on relevant laws, regulations, and firm policies.
- Foster a culture of compliance awareness and ethical conduct throughout the organization.
7. AML/KYC Responsibilities
- Serve as the firm’s AML Officer, overseeing the development and maintenance of an Anti-Money Laundering (AML) and Know Your Customer (KYC) program in line with industry standards and regulatory requirements.
- Ensure compliance with the forthcoming RIA AML Rule and continuously monitor AML policies and practices.
- Conduct AML/KYC due diligence, screening, and reporting, ensuring adherence to all relevant laws and regulations.
8. Fundraising Responsibilities
- Assist with compliance aspects during ongoing fundraising efforts, including ensuring that investor materials and presentations meet regulatory standards.
- Support future fundraising activities by ensuring that all compliance requirements are addressed throughout the process, working closely with the Investor Relations and Legal teams.
9. Administration of S2G’s Compliance Management System
- Administer and oversee the firm’s compliance management system, ensuring accurate tracking, documentation, and implementation of compliance-related activities.
- Regularly update and maintain records to ensure alignment with internal policies and regulatory obligations.
10. ESG and Impact Investing Compliance
- Monitor emerging and evolving regulatory requirements related to Environmental, Social, and Governance (ESG) and other relevant sustainability or impact-related disclosures to ensure compliance with applicable regulatory standards and reporting obligations.
- Develop and implement internal governance structures and policies to ensure ESG-related risks are assessed and managed coherently across the organization.
11. Legal Support
- Assist the legal team with various legal matters, including reviewing NDAs, vendor contracts, and managing entity documentation.
Key Qualifications
- Bachelor’s degree required; a JD is preferred but not mandatory.
- Extensive expertise in regulatory compliance relevant to SEC-registered investment advisers, either as an in-house compliance professional, compliance consultant, or attorney.
- Familiarity with Anti-Money Laundering (AML) and Know Your Customer (KYC) requirements, and experience implementing such programs.
- Familiarity with ESG and impact investing disclosures, regulations, and reporting frameworks, such as the EU Taxonomy or Sustainable Finance Disclosures Regulation (SFDR) or other international frameworks, is highly desirable.
- A minimum of 6 years of experience in compliance and/or legal work related to registered investment advisers, with previous experience in the private equity or investment management industry highly desired.
- Strong understanding of the regulatory environment for private funds and investment advisers.
- Experience working on NDAs, vendor contracts, and entity management is preferred but not mandatory.
**Please send resumes to Monica Jensen (monica@s2gventures.com)**
