Our client, a private equity fun with over $2B in AUM, is seeking a Compliance Officer to join their team. This newly created position presents an exciting opportunity for a compliance professional with a generalist background to work closely with the firm’s GC/CCO and help build out the compliance program. The new hire will have a direct path to become Deputy CCO within 12-24 months time and gain exposure to all areas of the firm’s compliance function.
Key Points:
- Newly created opportunity within a cohesive and dynamic private equity fund.
- Firm is designing the role with a specific career path to offer a growth role.
- Exposure to entire compliance function with mentorship from the GC/CCO who we know and is tremendous.
- Successful and stable fund with a proven track record and continued plans for added assets.
Responsibilities:
- Assist in SEC filing preparation including Form ADV, Form PF.
- Manage the implementation or policies and procedures outlined in the firm’s Compliance Manual and Code of Ethics.
- Provide regulatory review of all marketing materials and investor communications.
- Contribute to annual policy and procedure review including employee handbook.
- Partner with the GC/CCO to develop and deliver compliance trainings for the firm’s staff.
- Prepare and review due diligence documents and DDQ requests.
- Collaborate with the GC/CCO on other regulatory and compliance related projects and matters.
Qualifications:
- 5+ years of compliance generalist experience, with a preference for paralegal experience.
- Ability to report in-office in the firm’s Connecticut office 3-4 days per week (can hire someone in NYC but must be willing to come to CT 1-2 days/week in this instance)
- Bachelor’s degree required.
- Strong preference for experience in the private equity industry.
- Confidence in communicating with key-stakeholders, including senior leadership.
- Self-motivated, detail-oriented, organized, and highly communicative with the ability to handle multiple projects.
Compensation Expectations: $200-250K base; $300-325K all-in