Top 5 Chief compliance Jobs in Minnetonka, Mn

Deputy Chief Compliance Officer (DCCO)
Garda Capital Partners —Wayzata, MN
- $200,000 - $250,000 a year
- Office
- Finance
- Analysis skills
5d
Chief Compliance Officer
University of Minnesota —Minneapolis, MN
- $273,395 - $325,545 a year
- Full-time
- Background check
- HIPAA
- 11+ years
Chief Compliance Officer
Lifespark Group LLC —Saint Louis Park, MN
- $180,000 - $220,000 a year
- Hybrid work
- Background check
- Nursing
- 7 years
Quick Apply
Chief Legal Counsel / General Counsel 2
State of Minnesota - Human Services Dept —Saint Paul, MN
- $57.67 - $82.61 an hour
- Full-time
- Hybrid work
- Writing skills
- 3 years
- Analysis skills
- Paid parental leave
- Paid holidays
12d

Discover related jobs

Based on your search for chief compliance jobs.

VP - Risk Management & Compliance
Hennepin Healthcare —Minneapolis, MN
Oversee and ensure responsiveness to regulators and legislators through the Regulatory Review and Audit compliance work to maintain compliance with state and…
$138.51 - $174.04 an hour
VP, Osaic Advisors Channel Compliance
Osaic —Oakdale, MN
The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker-dealer compliance exposure; (2) demonstrated experience…
$170,000 - $200,000 a year

I want to receive the latest job alert for chief compliance in minnetonka, mn

By signing in to your account, you agree to SimplyHired's Terms of Service and consent to our Cookie and Privacy Policy.

Explore jobs in more locations

chief compliance jobs near minnetonka, mn

Chief Compliance Officer jobs in Minneapolis, MN

General Counsel jobs in Saint Paul, MN

Detention Officer jobs in North Carolina

Chief Compliance Officer jobs in Mclean, VA

Chief Compliance Officer jobs in University, FL

Chief Compliance Officer jobs in St. Louis, MO

Ny Court Officer jobs in New York, NY

Chief Compliance Officer jobs in Portland, OR

Chief Compliance Officer jobs in Los Angeles County, CA

Compliance jobs in Delaware

Chief Compliance Officer jobs in Indianapolis, IN

Armed Security Officer jobs in Atlanta, GA

Police Chief jobs in Houston, TX

Chief Compliance Officer jobs in Des Moines, IA

Chief Compliance Officer jobs in Philadelphia, PA

Chief Operating Officer jobs in Connecticut

Chief Of Staff jobs in New York, NY

Chief Compliance Officer jobs in California

Chief Compliance Officer jobs in Texas

Chief Compliance Officer jobs in Raleigh, NC

Deputy Chief Compliance Officer (DCCO)

Garda Capital Partners -
Wayzata, MN

Apply Now

Job Details

$200,000 - $250,000 a year
5 days ago

Qualifications

Vendor relationship building

Full Job Description

Garda Capital Partners (Garda) is a multi-billion dollar alternative investment firm with over 22 years of experience deploying relative value strategies across fixed income markets for institutional investors. We hire, grow, and mentor great talent and remain steadfast in our commitment to building a culture that helps them succeed. Garda is more than a workplace. We are built on trust, integrity, and a shared vision for how we work together, the enduring relationships we build, and the consistency of our results. Garda's primary offices are located in Wayzata, New York City, West Palm Beach, Geneva, Zug, Copenhagen, Singapore, and Scottsdale.

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.

Apply Now

Refine Your Search

chief compliance jobs in minnetonka, mn

Deputy Chief Compliance Officer (DCCO)

Chief Compliance Officer

Chief Compliance Officer

Chief Legal Counsel / General Counsel 2

Discover related jobs

I want to receive the latest job alert for chief compliance in minnetonka, mn

Explore jobs in more locations

Key Responsibilities

Qualifications & Desired Skills

Job Seeker Tools

Employer Tools

Browse

Stay Connected