Compliance Jobs

Deputy Chief Compliance Officer, Private Equity and Investment Business, Dallas, TX

By November 18, 2019 No Comments

We are representing a highly profitable PE and Investment firm in their search for a Deputy Chief Compliance Officer.

Why Join Us:

  • Firm established for over 20 years with impressive growth, profitability and reputational track record
  • Lean, entrepreneurial and viable business with strong investor following
  • Top down board level support of compliance program
  • Opportunity to drive compliance strategy as business transitions itself to an SEC Registered Investment Advisor
  • Culture built on support, compliance and family values

Expectations first 12 months:

  • Learn the business and establish yourself as a trusted advisor to colleagues at all levels of seniority
  • Assessment and implementation of company-wide compliance policies, procedures, controls and audit standards
  • Work alongside CCO in SEC audit process and implement required process changes
  • Evaluate and establish uniformity of compliance policy across all business units and PE funds


  • Reporting to the Chief Compliance Officer, managing the day to day implementation and operation of compliance program across all business units, liaising daily with business leaders and other stakeholders
  • Monitoring, testing and reporting results of the compliance efforts of the organization and providing guidance on matters relating to compliance and risk management
  • Assist in the continuing transition of the firm from operating as an Exempt Reporting Adviser (ERA) to a fully regulated Registered Investment Adviser (RIA) in accordance with the Investment Advisors Act of 1940
  • Refine, review and update the Compliance Manual and Code of Business Conduct and Ethics while collaborating with other departments to direct compliance issues to appropriate channels for investigation and resolution
  • Identify areas of compliance vulnerability and risk, develop/implement corrective action plans for resolution of problematic issues and provide guidance on avoiding similar issues in future
  • Provide reports on a regular basis to the Chief Compliance Officer and Compliance Committee
  • Annually prepare a report on the adequacy and operation of the program, any material compliance matters and violations, changes in policies and/or recommendations in accordance with SEC recommendations
  • Institute and maintain an effective communication and training program, including promoting a heightened awareness of the Code of Business Conduct and Ethics within the organization, an understanding of new and existing compliance issues and related policies and procedures, including cybersecurity threats
  • Assesses the effectiveness of internal controls, analyze and report forensic testing results, prepare and provide testing verification reports to ensure financial integrity and assets entrusted to the organization are protected
  • Assist the Chief Compliance Officer in managing and coordinating all SEC examinations, including responding to information requests on a timely basis


  • Extensive investment company RIA compliance experience including exposure to ‘40 Act compliance
  • Qualification: Essential Bachelor’s Degree and strong preference for JD
  • You will have a proven operational compliance focus, with demonstrable exposure to working independently in a hands-on capacity, as well as to regular communication and presentation to company executives

Application Process for Deputy Chief Compliance Officer – Qualified professionals are to submit Resume to Steve Harrison at:

Published by Conselium Executive Search, the global leader in compliance search.  

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