Opportunities

 

Private Equity Firm

Senior Compliance Associate, San Francisco, CA

Senior Compliance Associate (San Francisco, CA): Our client, a Private Equity firm with over $25 billion in AUM is looking to bring on a Compliance professional to join their driven team. Specifically, this new hire will be providing leadership teams with effective advice on compliance policies and regulatory procedures, while supporting the general compliance function.

 

Key Points: 

·       Firm is growing rapidly and making some of the most groundbreaking technology investments  

·       Position is newly created offering exposure to all areas of the compliance program and all investment decisions 

·       Firm is extremely stable (money is locked for 5 years) 

·       Person will work closely with senior management  

Responsibilities

·       Work closely with the Finance team to ensure compliance with valuation and fees and expenses policies and applicable regulatory obligations; perform compliance testing and surveillance of the firm’s activity while ensuring that the firm conducts its business in compliance with applicable laws and regulations

·       Define and develop policies, procedures and programs and provide continuing counsel and guidance on compliance matters; assist the Chief Compliance Officers in budget planning, resourcing and team management

·       Advise and consult with portfolio management and functional teams on regulatory and compliance matters; lead special projects and manage outside legal and compliance service providers

Qualifications:

·       Experience in regulatory-based positions, with a demonstrable track record of success in compliance programs and initiatives; excellent understanding of investment management compliance, including conflicts identification, mitigation and management, asset valuation and fees and expenses

·       Ability to travel domestically and internationally as needed in order to build trust and relationships internally and externally; ability to manage multiple projects with competing priorities across global geographies

·       Excellent written and verbal communication skills with the ability to communicate effectively with staff members on various levels; B.A. required, JD is a plus but not required

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