Classification: Full-Time, Exempt
Reports to: Chief Operating Officer/General Counsel
Domain is searching for a Chief Compliance Officer to join the Atlanta office. Domain Capital Group, LLC (“Domain”) is the parent company of Domain Capital Advisors, LLC (“DCA”) and Domain Timber Advisors, LLC (“DTA”), both SEC registered investment advisers.
This individual will be responsible for ensuring that both DCA and DTA are in compliance with all applicable rules and regulations under the Investment Advisers Act of 1940 and will develop and administer appropriate policies and procedures in support of both RIA’s compliance programs.
Essential Duties and Responsibilities
- Manage, implement and supervise Domain’s compliance programs across two SEC registered investment adviser subsidiaries.
- Lead and drive Domain’s culture of compliance.
- Collaborate with management and maintain a strong understanding of Domain’s investment verticals, investment structures, investor base and business strategies.
- Perform annual compliance reviews for both DCA and DTA with assistance from Domain’s outside compliance consultant.
- Maintain and update both Compliance Manuals and update policies and procedures to align with regulatory changes.
- Assist senior management with understanding and addressing areas of operational risk beyond regulatory compliance.
- Draft and implement policies and procedures, as needed or required.
- Work with General Counsel, securities counsel and outside compliance consultant in keeping abreast of new and proposed rules and regulations.
- Manage relationship with outside compliance consultant and work with securities and other counsel as necessary.
- Responsible for annual filing of Form ADV updating amendments, amended brochure and all related documents including Form PF.
- Oversee the monitoring of employee trades and restricted securities list.
- Lead response to regulators during compliance examinations or otherwise.
- Responsible for reviewing all marketing materials, RFI/RFP responses, due diligence questionnaires and other written communications with investors.
- Willing to assist in other operational areas as necessary.
Skills and Abilities Required
- Detail oriented, organized, driven, willing to be hands-on in all aspects of Domain’s business.
- Demonstrate leadership qualities.
- Ability to collaborate and drive solutions.
- Effective problem solving and analytical skills.
- Strong verbal and written communication skills.
- Professional business acumen.
- Ability to act and operate independently with minimal daily direction.
- Microsoft Office to include Word, Excel, PowerPoint and Outlook.
- Experience working with compliance management software like MyComplianceOffice
Education and Experience Required
- Bachelor’s degree in a business major or equivalent education and relevant work-related experience
- Past experience in compliance either as a CCO or in a supportive role
- Good working knowledge of securities rules and regulations under the Investment Advisers Act of 1940
Domain Capital Group headquartered in Atlanta, Georgia, provides comprehensive private investment management services through its two registered investment adviser subsidiaries to institutions, public and private pension plans, corporations, foundations, endowments and high-net-worth individuals. Our investment professionals have experience across a wide range of asset classes and investment strategies, including Media, Entertainment & Technology, Real Estate, Credit & Special Situations and Natural Resources.
As of June 30, 2023, Domain Capital Group has approximately $8.0 billion in aggregate assets under management among its two RIA subsidiaries, DCA and DTA.