Chief Compliance Officer

Company: Exponent
Location: Kansas City
Posted on: May 3, 2025

Job Description:

Join a pioneering hedge fund in Kansas City as Chief Compliance Officer, leading regulatory strategy and compliance excellence in a high-growth, disciplined investment environment.Why We Like This

• Strategic Impact: Opportunity to build and lead a lean, high-impact compliance function from the ground up in a growing hedge fund with experienced leaders.
• Competitive Compensation: Tied to fund performance, offering meaningful upside as the business scales.
• Cross-Functional Collaboration: Work closely with senior leadership and the investment team, influencing compliance, legal, and operational frameworks.Requirements
  • Compliance Leadership: Experience as a senior compliance leader within a hedge fund environment or other relevant field, preferably with hands-on management of SEC registration and regulatory filings
  • Regulatory Expertise: Deep knowledge of SEC, CFTC, NFA, and FINRA regulations, with proven ability to manage regulatory exams, inquiries, and ongoing compliance monitoring.
  • Compliance Program Development: Demonstrated success designing, implementing, and maintaining compliance manuals, codes of ethics, trade surveillance frameworks, and employee training programs without reliance on outsourced providers.
  • Hedge Fund Operations: Familiarity with hedge fund operational structures, including collaboration with legal, finance, and operations teams to ensure integrated compliance oversight.
  • Trade Surveillance & Ethics Oversight: Experience administering personal trading policies, trade allocation reviews, and monitoring for insider trading or front-running within investment firms.Responsibilities
    • Regulatory Compliance Management: Maintain and file key regulatory reports including Form ADV, Form PF, and 13F/13D/G accurately and on schedule, ensuring adherence to SEC, CFTC, NFA, and FINRA requirements.
    • Compliance Program Development: Design, implement, and regularly update the firm's Compliance Manual, Code of Ethics, and related policies such as material nonpublic information (MNPI), personal trading, and trade allocation.
    • Monitoring and Surveillance: Oversee trade surveillance systems and monitor investment activities to detect and prevent front-running, insider trading, restricted list breaches, and ensure best execution practices.
    • Regulatory Liaison and Exam Preparation: Serve as the primary contact for SEC exams and regulatory inquiries, managing exam preparation, interview readiness, and ongoing communication with legal counsel, auditors, and regulators.
    • Training and Risk Advisory: Conduct compliance training for staff, proctor expert network calls to manage MNPI risks, and regularly brief leadership on compliance risks, controls, and program health.$350,000 - $500,000 a year#a0RQO00000QvdQg2AJ #ExponentPartners
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Keywords: Exponent, Lenexa , Chief Compliance Officer, Executive , Kansas City, Kansas