Crabel Capital Management, LLC

Chief Compliance Officer

Milwaukee, WI · Exec

Sponsorship not specified$150k-$250kDetected 9 days ago

ComplianceCommunication

About the role

The CCO advises senior management on regulatory matters and fosters a strong culture of compliance throughout the organization.
This role reports directly to senior management and has regular interaction with the firm's principals, operations, trading, and legal functions.
The final salary within this range will be based on qualifications, experience, and other factors.

Manage all CFTC/NFA obligations, including CPO-PQR, CTA-PR, disclosure documents, exemption filings, bylaw 1101 diligence, and NFA registration and principal/AP licensing matters.
Manage all SEC regulatory filings and obligations, including Form ADV, Form PF, Form 13F/13H, Section 16 and 13D/G monitoring, and compliance with the Marketing Rule (206(4)-1).
Maintain and enforce the Code of Ethics, including personal trading, gifts and entertainment, outside business activities, and political contributions.
Serve as primary point of contact for regulatory examinations, inquiries, and audits by the CFTC, NFA and SEC; manage responses and remediation.
Review marketing materials, investor communications, due diligence questionnaires, and offering documents for regulatory compliance.

Minimum of 10 years of compliance experience in the asset management industry, with substantial hands-on experience under both the CFTC/NFA and SEC regulatory regimes.
Deep working knowledge of the Commodity Exchange Act, Investment Advisers Act, CFTC regulations, and NFA rules.
Bachelor's degree required.
Strong judgment, discretion, and the ability to communicate regulatory requirements clearly to trading, technology, and business personnel.
Self-starter with ability to handle multiple priorities.
Prior experience as a CCO, deputy CCO, or senior compliance officer at a CPO/CTA and/or registered investment adviser.
Direct experience managing CFTC, NFA, and/or SEC examinations and regulatory inquiries.
What You'll Need to be Successful
A hands-on willingness to participate at all levels and get the job done.
Strong team player with a loyal cooperative spirit.
Able to adapt to frequent changes in the business operating environment.
High level of integrity and the capacity to work under tight deadlines with a strong results orientation.
Demonstrated analytical skills and a commitment to high quality, detailed work.
Ability to work our hybrid work schedule out of our Milwaukee office (in office Tuesday - Thursday)

The estimated base salary range for this position is $150,000-$250,000.
The final salary within this range will be based on qualifications, experience, and other factors.
Total compensation includes the opportunity to participate in a discretionary bonus plan and a comprehensive benefits program.
Own and administer the firm's compliance program, including annual review and testing under the NFA self-examination questionnaire and Advisers Act Rule 206(4)-7.
Deliver firm-wide compliance training and annual certifications; advise employees on compliance questions.

Total compensation includes the opportunity to participate in a discretionary bonus plan and a comprehensive benefits program.

This listing is sourced directly from Crabel Capital Management, LLC's careers page and normalized into a canonical job model.