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Newton Investment Management North America LLC ("Newton"), a Boston based $60bn active equity and multi-asset investment management boutique, is currently seeking a highly motivated, focused, and experienced Chief Compliance Officer (CCO) to oversee RIA compliance in North America. This position will lead the Compliance department and oversee all compliance and regulatory interactions in the US on behalf of Newton.
The North America CCO will report directly to Newton's Global CCO, based in the UK, and will work in conjunction with the London team to provide ongoing support to the Newton business as a key part of the overall global compliance effort. The role holder will be expected to take the lead in the design and maintenance of a comprehensive compliance program ensuring that regulatory risks for Newton are identified and appropriately managed. Key responsibilities include leading the US Compliance team of 5, developing and maintaining policies and procedures required for a US RIA and ultimately for ensuring that the firm remains compliant with the relevant regulatory requirements.
The North America CCO will have a dotted reporting line into the BNY Mellon Investment Management Head of Compliance, North America. Newton is part of a group of investment firms owned by BNY Mellon.
Provide oversight of Newton's Compliance function and support the Newton Global CCO in the delivery of a global compliance program for the Newton Investment Management group.
Act as the appointed SEC, and CFTC regulatory liaison, managing regulatory audits and exams for Newton.
Establish and develop a compliance program which effectively manages and mitigates risk, establishes proper controls, supports business initiatives, and protects the company from legal and regulatory risk.
Oversee the timely and successful completion of all required regulatory reporting, including Form ADV and CFTC/NFA filings.
Proactively collaborate with other business departments as needed to ensure compliance issues are identified, investigated, addressed, and successfully resolved.
Work with various Newton group departments to develop and implement an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
Consult with Sales & Marketing, Operations, and other departments on compliance, supervision, and management issues.
The successful candidate will be able to demonstrate:
Proven leadership or management skills particularly in respect of small teams of Compliance professionals.
Ability to work independently in a fast-paced environment focusing on both local issues but also contributing to the leadership of a wider global team.
Experience of acting as appointed SEC, and CFTC regulatory liaison, managing regulatory audits and exams.
A passion to help team members and clients.
Strong process and planning orientation.
Ability to enthusiastically support and promote firm leadership and business goals.
The ability to maintain client confidentiality and demonstrate integrity and code of ethics.
Accountable, adaptable, and flexible.
Attention to detail & ability to multi-task.
Strong verbal and written communication skills.
A high level of team orientation and strong interpersonal communication skills.
Minimum of a Bachelor's degree from four-year college or university.
10 years or more in a senior Compliance role.
Deep knowledge of Securities Act of '33, Investment Advisers Act of '40, Investment Company Act of '40, and broad knowledge of various federal and state regulations.
Experience with the current and proposed regulatory environment (SEC, CFTC/NFA, and ERISA).
Broad knowledge of federal securities laws and regulations.
Advanced knowledge of rules and exemptions governing hedge funds, private equity funds, '40 Act Funds, and commodity pools.
Familiar with rules governing compliance with GIPS reporting standards.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans. Our ambition is to build the best global team - one that is representative and inclusive of the diverse talent, clients and communities we work with and serve - and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
Primary Location: United States-Massachusetts-Boston Internal Jobcode: 85168 Job: Risk Organization: Mellon With TOH ADJ-HR13428 Requisition Number: 2105829