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Job description
$5+ Billion Growing Private Equity Firm Seeks a Chief Compliance Officer
Reporting to the General Counsel (GC)
Responsible for Daily Monitoring of Investment Compliance Requirements
Assist in Overseeing the Firm’s Compliance Program, Policies, and Procedures
Responsible for Review of Regulatory Conflicts Pertaining to Investments Made Under Investment Company Act/Advisers Act (1940)
Improve Internal Controls & Compliance Policies & Procedures
Work Closely with Trading & Portfolio Management
Review Marketing Materials
Manage Code of Ethics and Regulatory Compliance Manual
Assisting with the preparation of regulatory filings (Form ADV, Form PF)
Assist in Preparing and Conducting Internal Compliance Training
Compliance Reporting to Senior Management
Assist in Preparing for and Responding to any Regulatory Inquiries or Examinations
Assist in Building out the Compliance Team with the GC
Qualifications
8-12+ Years Investment Compliance Experience at Growing Private Equity Firm
JD
Strong Exposure to Private Equity Secondaries
Base Salary 250k-275k + Strong Bonus. ~500k-550k all in.
Phenomenal Opportunity to Step in as CCO at this $5+ Billion Growing Private Equity Firm. Excellent Benefits & Full Comprehensive Package. Hybrid Schedule.
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Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.