Garda is looking to hire a Deputy Chief Compliance Officer to join our Wayzata or New York City office. This is an in-office position with flexibility between either location. The Deputy CCO will play a key leadership role within Garda's compliance program, helping to drive the strategy, execution, and continuous improvement of compliance processes that monitor operational and investment activities. The successful candidate will have a strong analytical background, leadership skills, experience with capital markets and hedge fund operations, and a deep understanding of compliance and regulatory frameworks. This position will report directly to the Chief Compliance Officer.
Key Responsibilities- Assist with leading Garda's global compliance program in partnership with the Chief Compliance Officer, including the oversight, management, and development of compliance staff.
- Lead trading and market-related surveillance efforts, including the prompt investigation and escalation of identified issues.
- Help direct the firm's response to regulatory examinations, inquiries, and other data requests.
- Collaborate with Middle Office, Trade Support, and Information Technology teams to define, develop, streamline, and monitor operational and trade-related processes.
- Monitor changes to domestic and international laws and regulations, assess applicability to Garda's activities, and help maintain protocols that ensure compliance.
- Contribute to the compliance and regulatory support provided to Garda's foreign affiliates in Denmark, Switzerland, and Singapore.
- Oversee the implementation and maintenance of marketing review processes, regulatory reporting obligations, and the firm's Code of Ethics.
- Play an active role in the administration of Garda's employee compliance programs, including personal trading surveillance, electronic communications monitoring, gifts and entertainment, outside business activities, and employee onboarding and offboarding processes.
- Support investor relations and operational due diligence efforts by participating in investor meetings and responding to due diligence requests.
- Assist with leading fund-level compliance responsibilities, including counterparty reviews, trade error documentation, proxy voting oversight, and board reporting.
- Oversee and manage third-party vendor relationships that support Garda's compliance program, ensuring service levels and deliverables meet program needs.
- Help drive the development and delivery of periodic compliance training to Garda staff, ensuring content reflects current regulatory expectations and firm-specific risks.
- Take on special projects and additional responsibilities as needed to support the growth and effectiveness of the compliance program.
- Oversight of transaction and position reporting.
Qualifications & Desired Skills- A minimum of 10 years of work experience in a compliance function within an SEC- or FINRA-regulated firm, or relevant related experience with a consulting firm, including experience in a leadership or supervisory role. Experience on a trading desk may be considered in lieu of direct compliance experience.
- Knowledge and experience with US and international investment management regulatory regimes and laws applicable to trading activities and capital markets. Experience with fixed income and derivative products preferred. Familiarity with international regulators such as the Danish FSA, Singapore MAS, or Swiss FINMA is a plus.
- Four-year college degree; accounting or finance emphasis preferred.
- CFA designation or Juris Doctor (JD) degree is a plus.
- Strong analytical skills with attention to detail. Able to manage multiple projects and meet tight deadlines with differing stakeholders.
- Excellent verbal and written communication skills with the ability to engage effectively with senior management, investors, and external regulators.
The base salary range for this role is expected to be $200,000-225,000 in Wayzata and $200,000-250,000 in New York City. Location preference will be discussed during the interview process.
This role is also eligible for other forms of compensation and benefits, such as a discretionary bonus, healthcare plan, 401(k) matching program, etc. Within the range, individual pay is determined by work location and additional factors, such as job-related skills, experience, and relevant education.
Base Salary for this role is expected to be between:
$200,000-$250,000 USD
