Opportunities

 

Private Equity

Chief Compliance Officer, New York, NY

Chief Compliance Officer (New York, NY): Our client, a leading private equity firm with over $30B in AUM, is seeking a CCO to join their team as their current CCO recently transitioned into a business role.  This new hire will work closely with the General Counsel/Chief Operating Officer along with various upper management members.  This is a critical hire for the firm as this team is growing rapidly. 

 

Key Points:

  • Ability to sit in the #1 compliance seat within a reputable and growing firm
  • High visibility position with a strategic tilt to the role as this person will actively engage with senior management
  • Competitive compensation and benefits package

Responsibilities:

  • Coordinate with the fund operations and finance teams to manage various SEC, CFTC and foreign regulatory filings; development of training and monitoring programs to ensure compliance 
  • Work with counsel to monitor and respond to regulatory actions that can impact the firm’s funds; draft, review and implement compliance policies and procedures
  • Mitigate and evaluate compliance, legal and regulatory risks as it relates to new/existing investments; conduct annual compliance reviews
  • Interact and assist with fund’s investment and operational teams to manage all relating fund matters; maintain compliance with marketing rules across various countries

Qualifications:

  • 10+ years of relevant or comparable experience in a compliance capacity within a financial services or private equity firm; extensive knowledge of the Investment Advisors Act of 1940
  • Undergraduate degree AND a J.D. are required; outstanding record of academic achievement and professional accomplishments
  • Ability to prioritize and focus on critical tasks that effect the firm; experience managing daily compliance affairs of private funds
  • Experience as a practicing regulatory or fund lawyer is not required but preferred; exceptional organizational and communication skills as this person will work closely with various levels of personnel 
  • Sense of urgency with a “can do” attitude; high level of patience and emotional intelligence while working effectively within a demanding environment 

Job Reference #1369

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