Deputy Chief Compliance Officer (DCCO)

Required

• A minimum of 10 years of work experience in a compliance function within an SEC- or FINRA-regulated firm, or relevant related experience with a consulting firm, including experience in a leadership or supervisory role. Experience on a trading desk may be considered in lieu of direct compliance experience.
• Knowledge and experience with US and international investment management regulatory regimes and laws applicable to trading activities and capital markets. Experience with fixed income and derivative products preferred. Familiarity with international regulators such as the Danish FSA, Singapore MAS, or Swiss FINMA is a plus.
• Four-year college degree; accounting or finance emphasis preferred.
• CFA designation or Juris Doctor (JD) degree is a plus.
• Strong analytical skills with attention to detail. Able to manage multiple projects and meet tight deadlines with differing stakeholders.
• Excellent verbal and written communication skills with the ability to engage effectively with senior management, investors, and external regulators.
• The base salary range for this role is expected to be $200,000-225,000 in Wayzata and $200,000-250,000 in New York City. Location preference will be discussed during the interview process.
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• This role is also eligible for other forms of compensation and benefits, such as a discretionary bonus, healthcare plan, 401(k) matching program, etc. Within the range, individual pay is determined by work location and additional factors, such as job-related skills, experience, and relevant education.
• Base Salary for this role is expected to be between:
• $200,000—$250,000 USD