Chief Compliance Officer
Position Overview
Filion Capital is seeking an experienced and diligent Chief Compliance Officer (CCO) to develop, implement, and oversee the firm's global compliance program. This senior role is critical for ensuring that Filion Capital operates with the highest standards of integrity and in full adherence to all applicable regulatory requirements across its jurisdictions. The CCO will serve as the subject-matter expert on regulatory matters, providing guidance to the investment team and senior leadership, and will be responsible for fostering a culture of compliance throughout the organization.
This is a key function that protects the firm, its investors, and its reputation.
Key Responsibilities
- Develop, administer, and maintain a comprehensive compliance program and written policies and procedures tailored to the firm's global investment activities.
- Serve as the firm's primary point of contact with regulatory bodies, including the SEC and other international regulators, managing all examinations, inquiries, and filings (e.g., Form ADV, Form PF).
- Conduct ongoing monitoring and testing of the compliance program to ensure its effectiveness and identify areas for improvement.
- Provide timely compliance guidance and training to employees on topics such as insider trading, code of ethics, marketing and advertising, cross-border regulations, and personal trading.
- Review and approve all external marketing materials, investor communications, and website content to ensure compliance with relevant regulations.
- Manage the firm's cybersecurity and data privacy policies in coordination with IT leadership.
- Administer the firm's Code of Ethics, including pre-clearance of personal securities transactions and monitoring for conflicts of interest.
- Stay abreast of new and evolving laws, rules, and regulations affecting private fund advisers in the U.S. and key international markets.
About Filion Capital
Filion Capital is a global investment firm focused on building the future through strategic acquisitions, real assets, and growth equity opportunities. We originate and execute transactions across the U.S., Africa, and other global markets with a mandate to partner with founders, operators, and institutions to scale transformative businesses. Unwavering ethical standards and regulatory excellence are the bedrock of our reputation and long-term success.
Job Nature
Full Time
Qualifications
- Bachelor's degree is required; a JD is highly preferred.
- 10+ years of compliance experience within the asset management industry, with a significant portion focused on private equity.
- Deep, practical knowledge of the Investment Advisers Act of 1940 and other SEC rules and regulations. Experience with international regulations (e.g., AIFMD, FCA rules) is a strong plus.
- Prior experience serving as a designated CCO or Deputy CCO for an SEC-registered investment adviser is required.
- Proven experience managing regulatory exams and interactions.
- Exceptional analytical, problem-solving, and risk assessment skills.
- High ethical standards, impeccable judgment, and discretion in handling confidential information.
- Excellent communication and interpersonal skills, with the ability to influence and educate professionals at all levels of the firm.
Experience Requirements
10+ years
Job Location
Dallas, TX (Hybrid)
Annual Salary
The compensation package for the Chief Compliance Officer is highly competitive and includes a significant base salary, a performance-based annual bonus, and eligibility for long-term incentives. Total compensation will be commensurate with the critical nature and seniority of this risk and regulatory leadership role.
What We Offer
- A critical leadership role that is essential to the firm's integrity and sustainable growth.
- A seat at the table with the executive leadership team, providing input on firm-wide strategic decisions.
- The autonomy to build and lead a best-in-class global compliance program.
- A competitive executive compensation package.
- High-level engagement on complex, cross-border regulatory matters.
Job Level
Sr. Position
How to Apply
Interested candidates can send their resumes to career@hoassociates.eu mentioning "Job Title" in the subject line.
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