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Deputy Chief Compliance Officer

Company: Disruptive Technology Advisers LLC

Location: Dallas

POST DATE: May 30, 2026
Contact Information

Contact Name: Miles Edwards

Email: milese@disruptive.tech

Phone: 973-650-4385

Website: disruptive.tech

Description:

We are seeking an experienced and detail-oriented Deputy Chief Compliance Officer (“Deputy CCO”) to support the Chief Compliance & Legal Officer in overseeing and managing the firm’s compliance program in accordance with the rules and regulations of the U.S. Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”). The Deputy CCO will play a key role in ensuring that the fund’s operations comply with applicable federal securities laws, internal policies, and industry best practices. The Deputy CCO will have direct responsibility for day-to-day compliance functions and will be instrumental in integrating technology into compliance processes to increase efficiency, accuracy, and reporting capability.

 

Responsibilities:

  • Assist the Chief Compliance & Legal Officer in managing and executing the firm’s compliance program under the Investment Advisers Act of 1940, the Securities Act of 1933, and applicable FINRA rules.
  • Monitor and interpret regulatory developments affecting private funds, broker-dealers, and investment advisers.
  • Conduct periodic compliance testing, risk assessments, and forensic reviews to identify potential gaps or deficiencies.
  • Assist in the development and implementation of compliance policies, procedures, and controls.
  • Lead training sessions for employees on key compliance topics, including Code of Ethics, AML, insider trading, and cybersecurity.
  • Implement, manage, and optimize compliance technology platforms to automate surveillance, reporting, and testing workflows.
  • Evaluate and integrate new compliance software solutions to improve oversight and reduce manual processes.
  • Review and assist in preparing regulatory filings such as the Form ADV.
  • Assist with regulatory exams and inquiries from the SEC, FINRA, States and other regulatory bodies.
  • Partner with internal stakeholder teams such as Business Development and Finance to ensure firm-wide compliance.
  • Act as a deputy to the Chief Compliance & Legal Officer, assuming leadership responsibilities in their absence.

Requirements: 

  • 5+ years of compliance experience in the asset management industry, preferably with a private fund especially private equity and venture capital.
  • Strong working knowledge of the Investment Advisers Act of 1940, the Securities Act of 1933, FINRA rules, and related SEC regulations.
  • Familiarity with compliance technology platforms such as Global Relay and Compliance Science (ComplySci) is a plus.
  • Excellent analytical, organizational, and communication skills.
  • High ethical standards and sound judgment.

 

Required Certifications
• FINRA Series 7, 24 and 63.

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