Private Equity

Compliance Officer (to become CCO), New York, NY

ACTIVE IN THE COMING MONTHS - Compliance Officer (to become CCO) – New York, NY: Our client, an extremely successful and unique private equity firm and asset manager, is seeking a talented legal and compliance professional to join their team in a #2 capacity to support their GC/CCO.  This is a newly created role to help the GC/CCO offload the bulk of the compliance program onto an inspired and ambitious new hire with the explicit intent of transitioning this person to CCO in the coming years.  The firm’s business is complex in both structures and investments so this new hire needs to be ready to roll up their sleeves to learn the inner workings of the firm’s investment philosophy and compliance program.  This is an exceptional role for someone that is mid-career and striving to get to the next level.  The firm boasts one of the most impressive track records as well as an amazing work culture with numerous perks. 


Key Points: 

  • Newly created position allowing the firm to create the role around the new talent and allowing the new hire to make an impact on the business
  • GC/CCO is down to earth, level headed, intelligent, engaging, and will be a strong mentor to the Compliance Officer
  • Firm is complex in nature offering an intellectually challenging environment for this hire to acquaint him/herself with 
  • Company’s assets are sticky sticky sticky


  • Supervise the firm’s outside compliance consultant’s work (their work includes email surveillance, brokerage account review, trade report error review, and compliance system oversight)
  • Manage the firm’s overall compliance program; spearhead initiatives around new compliance topics 
  • Review and approve external communications including marketing materials; prepare regulatory filings (Form ADV 1, 2a, 2b and Form PF)
  • Aid the firm in being “exam ready” for any future SEC exams; serve as a resource for investment professionals and outside counsel; attend Investment Committee meetings
  • Conduct research with respect to compliance and regulatory issues; develop new compliance initiatives
  • Manage projects involving third-party services providers and management of vendor due diligence; review and test of compliance processes and procedures 
  • Attend compliance conferences and seminars; perform employee training


  • 7+ years of compliance experience from a private equity fund (strongly preferred), venture capital firm, hedge fund, traditional asset manager, compliance consulting firm, or SEC
  • J.D. strongly preferred BUT strong compliance candidates with a bachelor’s degree will be considered
  • Sincere desire to work in a compliance capacity and take over a compliance program
  • Individual will need to be comfortable handling a full suite of compliance responsibilities – taking swings at tasks that may be below their paygrade, and those that are above their paygrade
  • Proactive attitude and ability to integrate oneself into an organization is imperative to the success of this hire
  • Demonstrated leadership skills

Job Reference #1406

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