Chief Compliance Officer, GAM US

Application Deadline:

11/19/2026

Address:

151 W 42nd Street

Job Family Group:

Audit, Risk & Compliance

Leads the development, implementation, maintenance, and administration of the regulatory compliance program for a U.S. registered investment adviser (RIA). Oversees the establishment of a comprehensive compliance framework in connection with the entity's SEC registration and the development and launch of investment products and funds. Provides regulatory compliance advice and oversight relating to investment advisory activities, fund operations, and related business initiatives.

Acts as the designated Chief Compliance Officer of the RIA and is responsible for administering its compliance policies and procedures in accordance with applicable SEC requirements. Coordinates and performs regulatory risk assessments, monitoring, testing, and surveillance activities to ensure the compliance program remains effective and aligned with applicable regulatory requirements and the BMO Compliance Program. Works with business/group management, Legal, Risk and other internal partners to ensure regulatory, corporate, and fiduciary obligations are met. Advises on the implications of regulatory developments, new investment products and business initiatives, and oversees the implementation of appropriate compliance policies, procedures, and controls.

Contributes to business/group results by providing independent compliance oversight, effectively challenging business activities and making recommendations that support the Bank's ability to manage regulatory compliance risk, meet regulatory obligations, and achieve business objectives.

• •Leads the development and implementation of the RIA's regulatory compliance program, including policies, procedures, controls, governance arrangements and compliance monitoring and testing activities.
• •Leads the compliance workstream in connection with the RIA's SEC registration, including the preparation and review of Form ADV, regulatory disclosures and related compliance documentation.
• •Serves as the designated Chief Compliance Officer of the RIA pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940.
• •Oversees the ongoing administration and effectiveness of the RIA's compliance program, including required annual compliance reviews, regulatory filings, monitoring, testing, issue management, and reporting.
• •Provides advice and influences business/group management on the implementation of solutions aligned with regulatory requirements and risk appetite, based on an understanding of business operations and stakeholder needs.
• •Acts as a subject matter expert on U.S. investment adviser regulation, including fiduciary obligations, conflicts of interest, custody, marketing, personal trading, recordkeeping, and other applicable SEC requirements.
• •Provides compliance advice and oversight in connection with the structuring, development, and launch of investment funds, including products offered or registered under the Securities Act of 1933 and a fund registered under the Investment Company Act of 1940.
• •Consults on new products, investment strategies, services, distribution arrangements, and automated systems to ensure compliance requirements are appropriately incorporated into business initiatives.
• •Oversees the development and implementation of compliance policies and controls applicable to investment management activities, including portfolio management, trading, allocation, best execution, valuation, conflicts of interest and client disclosures.
• •Advises on applicable investment fund compliance requirements, including fund governance, disclosure, investment restrictions, service-provider oversight, and ongoing regulatory reporting.
• •Supports the establishment and ongoing operation of compliance arrangements for funds subject to the Investment Company Act of 1940, including coordination with fund boards, fund compliance personnel, and external service providers, as applicable.
• •Makes recommendations to senior leaders on strategy, new initiatives and regulatory risk management, based on an in-depth understanding of the business/group.
• •Leads and participates in the design, implementation, and management of core compliance processes, including regulatory risk assessments, monitoring, testing, surveillance and reporting.
• •Conducts and effectively challenges risk assessments for business/group and assists in identifying and implementing appropriate compliance controls.
• •Performs and oversees monitoring and testing activities to assess the design and operating effectiveness of regulatory compliance controls.
• •Identifies, assesses, effectively challenges, and oversees the satisfactory resolution of compliance issues, including the development and validation of appropriate remediation plans.
• •Elevates material compliance issues and regulatory risks to business/group management, senior Compliance leadership, and relevant governance committees for prompt resolution.
• •Develops and maintains compliance management information, metrics and reporting for business/group management, Compliance leadership, and relevant governance bodies.
• •Establishes and maintains effective relationships with the SEC and other applicable regulatory authorities, and coordinates responses to regulatory inquiries, examinations, and requests for information.
• •Represents the RIA and interacts with examiners and auditors during regulatory examinations and internal and external audits.
• •Develops and maintains a high level of expertise in applicable U.S. securities laws, regulations, SEC rules, regulatory guidance, and industry practices.
• •Monitors regulatory developments affecting investment advisers, investment products, and registered investment companies, and advises business/group management on their implications.
• •Oversees the implementation of new or revised compliance policies, procedures, and controls in response to regulatory developments and changes in business activities.
• •Provides regulatory compliance advice and oversight relating to marketing, advertising, investor communications, and distribution activities.
• •Identifies compliance training requirements and develops or coordinates appropriate training for business/group employees.
• •Works collaboratively with Legal, Risk, Operations, Finance, Technology, and other internal and external stakeholders to support effective regulatory compliance and risk management.
• •Builds effective professional relationships with business/group management, internal and external stakeholders, regulators, and fund service providers.
• •Coordinates with external legal counsel, compliance consultants, and other professional advisers in connection with regulatory registration, fund launches and ongoing compliance obligations.
• •Ensures the RIA's compliance framework is appropriately integrated with the BMO Compliance Program and applicable enterprise governance, policies, procedures, and risk management requirements.
• •Communicates the roles and responsibilities of the three lines of defense and promotes a strong culture of regulatory compliance and accountability.
• •Operates at a business/group and enterprise-wide level and serves as a specialist resource to senior leaders and stakeholders.
• •Applies expertise and sound judgment to address complex, emerging or ambiguous regulatory matters and develops practical solutions to mitigate compliance risks.
• •Operates effectively in a dynamic environment with evolving business requirements, regulatory expectations, and audit scrutiny.
• •Broader work or accountabilities may be assigned as needed.

Qualifications

• •Typically, 10+ years of relevant experience in U.S. investment management regulatory compliance, including experience with SEC-registered investment advisers, and a post-secondary degree in a related field of study or an equivalent combination of education and experience.
• •Significant experience developing, implementing, and overseeing