Full Time
Princeton NJ
Posted 7 months ago

1435 Capital Management is seeking an experienced Chief Compliance Officer (CCO) for a private equity firm that has a minority ownership position in a broker/dealer. The Chief Compliance Officer would be working at both 1435 Capital Management and the broker/dealer. The CCO will assume primary responsibility for assuring broker/dealer compliance with the Securities Exchange Commission (SEC), Financial Regulatory Authority (FINRA), and all state rules/regulations as well as all other federal statues and trends. The CCO will evaluate business risk in accordance with policies, goals, and objectives established by then organization. The CCO is also accountable for the design and execution of the compliance program for the broker/dealer and 1435 Capital Management and assures that legal and regulatory compliance is maintained at the highest possible level.

This opportunity is an ideal role for candidates who are interested and experienced in building and expanding a private equity firm and it’s affiliated broker/dealer. Our ideal candidate should have an entrepreneurial mindset, possess strong leadership skills, and take a hands-on approach in his/her everyday dealings within the organization.

Required Qualifications

  • Bachelor’s degree in business, finance, accounting, or other applicable discipline
  • Minimum of 7 years of dynamic experience in the securities industry with a thorough understanding of the Investment Advisors Act of 1940 and SEC, FINRA, and MSRB regulations
  • Previous broker/dealer compliance experience
  • Thorough knowledge of regulatory governance for broker/dealers as well as securities laws pertaining to privately held and publicly held securities
  • Strong knowledge of institutional brokerage, alternative investment products, and REIT products; prudent investor standards for fiduciary investment management; and familiarity with fiduciary investment management principles and wealth transfer planning strategies and structures
  • Experience in responding to customer complaints, mediations, and arbitrations
  • Ability to lead and contribute to the due diligence review of alternative products and privately-held securities
  • Must be skilled in responding to regulatory inquiries and audits
  • Competent with drafting, reviewing, implementing, and managing compliance policies and procedures
  • Ability to communicate effectively, both verbally and written to various audiences
  • Ability to establish working relationships with individuals and teams both inside and outside of the Firm
  • Ability to train others and transfer knowledge to others
  • Must demonstrate strong leadership, management, and customer service skills
  • Orientation towards process improvement and the ability to think and work at both strategic and tactical levels as required
  • FINRA Series 4, 7, 82, 24, 53, 63, and 65 or 66

Preferred Quailifications

Juris Doctorate (JD) degree from an accredited US school of law

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Princeton NJ


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