Company Description
Geneva Capital Management LLC is an independent, majority employee-owned investment management firm specializing in US Small Cap, SMID Cap, and Mid Cap Growth equities. Since its founding in 1987, the firm has adhered to a disciplined investment approach, fostering a culture rooted in collaboration and transparency. Geneva Capital Management is committed to building high-quality portfolios focused on small- and mid-cap stocks across the US. Through its dedication to teamwork and meticulous focus, the firm serves clients across diverse investment needs.
Role Description
The Chief Compliance Officer (CCO) will serve as a senior leader responsible for implementing and overseeing Geneva Capital Management's compliance program. The CCO will work closely with senior management and investment professionals to ensure that the firm operates in full accordance with applicable laws, regulations, and internal policies.
Key Responsibilities
- Maintain, monitor and continuously improve a comprehensive compliance program tailored to the firm's investment strategies and regulatory obligations.
- Serve as the firm's primary liaison with regulatory bodies including the SEC, DOL and other relevant authorities; manage all regulatory examinations, inquiries, and filings.
- Maintain and enforce firm-wide compliance policies, procedures, and controls consistent with applicable investment adviser regulations (Investment Advisers Act of 1940).
- Provide ongoing compliance training and education to employees at all levels of the organization.
- Oversee the monitoring of investment activities for adherence to client guidelines, regulatory requirements, and internal policies, including trading surveillance and best execution review.
- Oversee the firm's Code of Ethics, personal trading program, and political contribution (pay-to-play) policies.
- Conduct periodic compliance testing, risk assessments, and internal audits; report findings and recommendations to senior leadership.
- Manage relationships with outside legal counsel, compliance consultants, and third-party compliance related service providers.
- Review marketing materials, client communications, and RFP responses to ensure accuracy and regulatory compliance.
- Stay current on regulatory developments, assess their impact on the firm, and advise management accordingly.
- Assist in the oversight of the firm's business continuity, privacy, and cybersecurity compliance obligations.
- Respond to client regulatory, due diligence and certification requests.
Qualifications
Required
- Minimum of 15 years of experience in compliance, legal, or regulatory roles within the investment management industry.
- Prior experience serving as a Chief Compliance Officer or Deputy CCO at a registered investment adviser.
- Deep expertise in the Investment Advisers Act of 1940 and SEC regulations governing investment advisers.
- Familiarity with the Investment Company Act of 1940 and SEC regulations governing mutual funds.
- Demonstrated experience in a boutique or independent investment management environment is strongly preferred.
- Strong analytical, organizational, and communication skills with the ability to engage effectively across all levels of the organization.
- Highest standards of professional integrity, discretion, and ethical conduct.
Preferred
- Juris Doctor (J.D.) degree from an accredited law school.
- Experience supporting equity and fixed income strategies.
- Familiarity with ERISA compliance requirements and managing institutional client relationships.
- Experience with compliance technology platforms and reporting tools.
