Chief Compliance Officer
: Job Details :

Chief Compliance Officer (CCO) – SEC-Registered Investment Adviser

Location: Remote

Position Type: Full-Time

Salary: $6,250 to $7,500 semi-monthly based on experience.

Bonus: Discretionary year-end bonus based on firm and individual performance.

Benefits: 401(k) plan with employer matching, excellent health coverage, and paid time off.

Start Date: ASAP

About Crescat Capital:

We are a dynamic, growth-oriented SEC-registered investment adviser and hedge fund management firm committed to delivering innovative financial solutions while maintaining the highest regulatory standards. Our firm values professionalism, integrity, transparency, and a culture of compliance.

Position Overview:

Crescat Capital is seeking an experienced and motivated Chief Compliance Officer (CCO) to join our team. The CCO will be responsible for overseeing all aspects of our compliance program to ensure adherence to SEC regulations and internal policies related to our business of managing private funds and separate accounts. This role is critical in maintaining the integrity and reputation of our firm. This individual will serve as a trusted partner to the executive team, keeping the firm on track with all relevant regulatory requirements. The ideal candidate will bring both technical expertise and practical experience to ensure compliance is seamlessly integrated with our business operations.

Key Responsibilities:

• Oversee the firm's compliance program, policies, and procedures to ensure compliance with SEC regulations.
• Report directly to two management owners and co-founders who serve as chief investment and operating officers.
• Act as the primary point of contact for regulatory bodies, including the SEC, and coordinate audits and examinations.
• Monitor and interpret evolving regulatory requirements and communicate changes to relevant stakeholders.
• Conduct regular compliance risk assessments and develop action plans to address potential risks.
• Prepare and submit SEC filings, including Form ADV, Form PF, 13D, F, and G, and other forms and documents as required by the firm's various regulators.
• Provide ongoing compliance training to staff and management, fostering a strong culture of compliance.
• Manage the firm's code of ethics, personal trading policies, and conflict-of-interest policies.
• Perform ongoing testing of the firm's policies, procedures, and internal controls.

· Use ACA's ComplianceAlpha® technology platform.

· Investigate and resolve compliance issues and breaches.

· Monitor restricted trading list.

· Pre-approve all marketing, advertising, and social media utilized by the firm and its employees.

• Pre-approve and monitor personal trading.
• Collaborate with the legal, operations, and investment team to ensure compliance procedures align with business objectives.

Required Qualifications:

· Investment Adviser Certified Compliance Professional (IACCP®) Designation.

· Minimum of 5 years of full-time experience in a compliance role for a US-registered investment adviser or with an outsourced compliance firm serving investment advisers.

• Bachelor's degree minimum in accounting, finance, economics, pre-law, or related field.
• In-depth knowledge of SEC rules as they apply to both registered investment advisers and private funds, including the Investment Advisers Act of 1940, the Marketing Rule, the Securities Act of 1933, Rule 506(b) and 506(c), and the Investment Company Act of 1940 exemptions 3(c)(1) and 3(c)(7).

· Strong familiarity with compliance reporting and recordkeeping, including Form ADV, Form PF, and other SEC requirements.

• Compliance matters include reporting in international jurisdictions such as Canada, Australia, and the Cayman Islands.
• Proven ability to interface with regulatory bodies and manage audits or regulatory examinations.
• Excellent analytical, communication, and problem-solving skills.
• Strong project management and organizational skills.
• Ability to work independently and collaboratively with a team including in frequent Microsoft Teams sessions.
• Strong leadership skills and the ability to foster a culture of compliance.
• CFTC/NFA regulatory experience is helpful but not required.

Compensation & Benefits:

We offer a competitive and comprehensive benefits package, including:

• Base Salary: Semi-monthly (twice per month) $6,250 to $7,500 (commensurate with experience).
• Performance Bonus: Discretionary annual bonus based on the overall firm and the individual's performance.
• Retirement account: 401(k) with employer match

· Remote Work: Colorado residence is preferred but not required. Occasional trips to Denver may be required.

· Excellent health coverage

• Flexible Paid Time Off (PTO) policy
• Professional Development Stipend for certifications and continuing education.

How to Apply:

Interested candidates should submit their resume, cover letter, and three professional references to Linda C. Smith, chief operating officer at ...@crescat.net. Applications will be reviewed on a rolling basis, and only those selected for an interview will be contacted.

We are an equal opportunity employer and encourage applications from all qualified individuals, regardless of race, gender, age, disability, or veteran status.