Head of US Compliance

A leading global investment platform is seeking a seasoned Head of U.S. Compliance to oversee its regulatory program across SEC-registered investment adviser and commodity pool operator entities. This strategic leadership role offers the opportunity to shape compliance culture within a respected international firm with a growing U.S. presence.

Key Responsibilities:
As Head of United States Compliance, you will be entrusted with overseeing all facets of the U.S. regulatory compliance landscape for both investment adviser and commodity pool operator entities. Your day-to-day responsibilities will involve not only managing core compliance functions but also acting as a trusted advisor to senior management on complex regulatory matters. You will supervise a small but highly capable team in New York while leveraging additional resources in other offices to ensure comprehensive coverage of all compliance needs. Your role will require you to maintain open channels of communication with regulators such as the SEC, CFTC, and NFA; provide timely guidance on emerging issues; participate in high-level committees; and contribute meaningfully to business strategy discussions. By fostering an inclusive environment where knowledge-sharing is encouraged, you will help drive operational excellence while supporting your colleagues’ professional development. Your success in this position will be measured by your ability to balance rigorous regulatory oversight with practical business acumen, ensuring that compliance remains both effective and adaptable within an evolving global context.

• Serve as the designated Chief Compliance Officer for United States-based registered investment adviser and commodity pool operator entities, ensuring full alignment with all relevant regulations.
• Lead the design, implementation, and ongoing enhancement of the U.S. compliance program, maintaining up-to-date knowledge of SEC and CFTC/NFA frameworks.
• Oversee daily compliance operations, providing dependable supervision to a small team based in New York while coordinating with supportive colleagues worldwide.
• Act as the primary liaison with key regulators such as the SEC, CFTC, and NFA, managing communications and responses to regulatory inquiries or examinations.
• Offer strategic compliance guidance to senior leadership, contributing valuable insights during business decision-making processes from a regulatory perspective.
• Participate actively in internal committees, sharing your expertise to help shape company policies and ensure consistent standards across regions.
• Manage all aspects of regulatory filings, annual reviews, policy development, marketing material review, and employee training initiatives.
• Coordinate international compliance support by collaborating on global projects and ensuring seamless integration of U.S. requirements into broader organizational objectives.

Key Requirements:
To excel as Head of United States Compliance, you will bring extensive experience gained through progressively responsible roles within regulatory compliance—ideally within investment adviser or commodity pool operator settings. Your background should reflect not only technical expertise but also an empathetic approach to stakeholder engagement and team development. You are adept at interpreting complex regulations and translating them into actionable policies that support both legal obligations and commercial objectives. Your interpersonal skills allow you to build trust quickly among diverse groups, while your attention to detail ensures nothing is overlooked in day-to-day operations. Experience supervising small teams means you understand how to motivate others through encouragement rather than direction alone; meanwhile, your comfort with international travel demonstrates flexibility and commitment to building lasting relationships beyond borders.

• At least ten years of experience in regulatory compliance roles within investment adviser or commodity pool operator environments, demonstrating deep familiarity with industry standards.
• A proven record as a compliance leader who has previously served as named Chief Compliance Officer or held equivalent senior positions.
• Comprehensive understanding of U.S. regulatory requirements including those set forth by the SEC, CFTC, and NFA.
• Exceptional communication skills paired with strong interpersonal abilities that enable you to collaborate effectively across multiple levels and geographies.
• Experience managing small teams in lean operational settings while maintaining high standards of accuracy and dependability.
• Willingness to travel internationally for annual meetings

What's Next:
If interested in this position, please contact Daniela Garcia at Daniela.Garcia@robertwalters.com