Private Equity Firm

Senior Compliance Officer, New York, NY

Senior Compliance Officer (New York, NY): Our client, a well renowned private equity firm with over $20B in AUM, has a need for a strong compliance candidate to join their New York team.  This is an excellent opportunity for an individual to work as a stand-alone compliance capacity in the firm’s New York office. The CCO and two other members of the compliance team sit in another global office so the Senior Compliance Officer will spearhead all of the compliance efforts for the NYC team. 


Key Points:

·       Individual will be the sole compliance officer in New York City and have the support of the CCO and two other members in the firm’s London office

·       This new hire will manage the day to day compliance program in the US

·       Opportunity to work in a senior role in a generalist capacity

·       Firm is extremely successful and boasts a long track record of returns and performance

·       Excellent work/life balance – most days are 9am-5pm


·       Maintaining and updating the US regulatory faces of the global compliance program; preparing the firm for regulatory exams and audits

·       Handling regulatory filings including Form PF and Form ADV; monitoring regulatory developments effecting the US and global compliance polices

·       Assisting team members with any regulatory matters or inquiries; preparing regulatory filings

·       Collaborating with the compliance consulting firm on various compliance matters; conducting employee trainings

·       Providing regulatory advice on matters; advising on AML/ABAC matters

·       Monitoring insider trading and market manipulation; reviewing marketing materials

·       Developing an understanding of the business and researching new SEC compliance initiatives effecting the business


·       5-10 years of relevant compliance experience from a hedge fund, private equity firm, asset manager, or fund of funds; strong communications skills, an ability to work autonomously, be proactive, and possess the maturity to work with senior level individuals throughout the organization

·       J.D. is excellent but not required

·       Strong academic credentials preferred; as the sole compliance professional in NYC, it is imperative that this individual have a “no task too small” mentality and a proactive attitude

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