Hiring: Chief Compliance Officer Company: Corgi Location: Washington DC-Baltimore Area Job Posted Time: 2026-09-10 10:39:22 Employment Type: Full-time / Remote Target Skills & Keywords : Derivatives, Risk Management About the job Required Skills: •Design, implement, and annually review the adviser's compliance policies and procedures, and report on the program to senior management and the Board. •Own the compliance review of new products from concept through launch, so that policies, procedures, and listing requirements are in place before a fund trades. •Administer the code of ethics and personal trading program across a group with significant affiliated insurance and investment activity. •Oversee compliance testing and surveillance across trading, allocation, valuation, and the risk management programs that sit under the fund rules, including liquidity and derivatives. •Review marketing and sales material under the Marketing Rule and the heightened standards that apply to complex and leveraged products. •Manage regulatory examinations and inquiries, and serve as the primary compliance contact for SEC staff and the listing exchanges. •Oversee compliance diligence on service providers, including the administrator, transfer agent, custodian, distributor, and index providers. •Build the compliance team and the systems behind it, including working with our engineers to automate testing and evidence collection instead of staffing around spreadsheets. Compensation: •Flexible work environment (work from home / hybrid options) Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!