Smith Harvey Associates

CCO Chief Compliance Officer

Smith Harvey Associates - Andover, MA

An alternative asset management firm focused on private equity fund of funds, co-investment, private credit is seeking a Chief Compliance Officer. Since its inception in 2008, the Firm has managed approximately $4.6 billion in commitments.


Job Description


The Chief Compliance Officer (CCO) will assist in the legal, regulatory, and transactional issues for the firm’s businesses, with a heavy focus around the Investment Advisor’s Act of 1940 (40 Act). The CCO will report to the Managing Partners, with a strong and close working relationship between the candidate and the senior management of the firm.

Responsibilities and Duties


Lead the strategy, management, and administration of the Compliance program, including developing and implementing policies and procedures, process improvements, monitoring the effectiveness of controls and performing compliance review functions, and overseeing the preparation and filing of regulatory filings around the 40 Act.


Work directly with senior management and leaders of the dedicated teams to provide advice on the implementation of strategic and tactical business plans and objectives.

Participation in projects concerning the implementation of new legislation and regulatory requirements.


Responsible for legal planning, working with outside counsel and monitoring transactional execution at the investment level.


Responsibility for the compliance review on new products, marketing materials, and investor documentation.

Working and coordinating with regulators on audits.






  • J.D. preferred but not required
  • Superior academic credentials
  • 10-15 years of compliance, legal, operations, and/or regulatory experience, preferably in private equity
  • Experience with various asset classes including private equity fund of funds, co-investment, 40 Act and private credit
  • Solid understanding of the asset management laws and regulations, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, related SEC rules and regulations as well as knowledge of industry practices
  • Knowledge of structuring applicable to private equity business and promotion of investment products is preferred
  • Ability to understand complex issues and to provide clear and concise explanations in written and verbal communications
  • Strong analytical, organizational, and problem-solving skills
  • Ability to evaluate opportunities for process improvements
  • The successful candidate will be practical-minded, a team player, enthusiastic, energetic, organized, pro-active, responsive, and service-driven
  • Ability to build strong personal relationships with management, have a “can do” attitude and be able to work with tight deadlines when required

Posted On: Monday, November 7, 2022

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