Compliance
Chief Compliance
Officer (CCO)
Dubai / remote
We are seeking a Chief Compliance Officer to lead our regulatory compliance program. As CCO, you will be responsible for ensuring the fund meets all regulatory requirements while supporting our growth objectives. This role reports directly to the CEO.
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Responsibilities:
• Develop and maintain comprehensive compliance program and policies
• Serve as primary contact with SEC, CFTC, NFA, and other regulators
• Oversee all regulatory filings including Form ADV, Form PF, and 13F
• Conduct compliance training for all employees
• Implement and maintain compliance monitoring and surveillance systems
• Lead annual compliance reviews and internal audits
• Advise on regulatory implications of new strategies and products
• Manage external compliance consultants and legal counsel relationships
Requirements:
• 10+ years of compliance experience in asset management
• Deep expertise in Investment Advisers Act, Investment Company Act, and securities regulations
• Experience as CCO or Deputy CCO at a registered investment adviser
• Strong understanding of quantitative trading and systematic strategies
• Excellent relationship management skills with regulators
• JD or compliance certification (IACCP, CSCP) strongly preferred
• Series 3, 7, and 24 licenses or equivalent
Nice to have:
• Experience with CFTC/NFA commodity pool operator compliance
• Background in cryptocurrency regulatory matters
• Experience building compliance programs during rapid growth phases
• Prior regulatory examination experience
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