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Job description
Overview
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One of the biggest holding companies in the world, and a long-standing client of ours, is currently on the lookout for a Senior Compliance Manager as they prepare to ramp up investments and operations across the USA. This is an exceptional opportunity to join one of the most influential organisations in its sector and take extensive responsibility for the department. Please note that although this is a managerial role, it does require a significant degree of "hands-on" work. Please note this role can be based out of Boston or San Francisco.
Responsibilities
Lead and manage the compliance function for SEC-related activities and programs.
Maintain and develop compliance programs to meet regulatory requirements.
Prepare for and respond to SEC exams with experience and oversight from the team.
Collaborate with the CRO and General Counsel on compliance strategy and advisement.
Supervise a small team (2-5 members) and provide hands-on guidance as needed.
Qualifications
At least 7 years of professional experience in financial compliance or a related field.
Ideally a JD from an accredited school, or extensive exposure to financial compliance at a top law firm or major financial services players.
Strong understanding of SEC regulations, specifically the Advisers Act of 1940.
Proven ability to maintain and improve compliance programs and manage SEC exam processes.
Offer and Benefits
Direct reporting line to Chief Risk Officer (CRO) and advisory to General Counsel.
Leadership of a small team (2-5 people).
Partial work-from-home options (1/2 days).
Medical and dental benefits, retirement plans, and commuting support.
Paid time off, including 4 months of parental leave, and family benefits.
Exposure to world-leading projects and professional growth opportunities.
Job Details
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Legal
Industries: Venture Capital and Private Equity Principals
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Worksite address
chicago, IL, 60290, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.