Private Equity

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

Compliance Officer (to become CCO) – New York, NY: Our client, a successful private equity firm with a long track record, is seeking a talented legal and compliance professional to join their team.  This is a newly created role to help the current legal and compliance team offload the compliance program onto an inspired and competent new hire with the explicit intent of transitioning this person to CCO in the coming years.  This new hire will need 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 an impressive track record as well as a positive, helpful, and collaborative work culture. 


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
  • Firm tends to hire down to earth, levelheaded, intelligent, engaging, and team-oriented individuals
  • New hire will be given the proper support and institutional knowledge to lift out the compliance program and run it efficiently
  • Clear career trajectoryto lead the firm’s entire compliance program and becoming the CCO


  • 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 D&A)
  • 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
  • Handle email surveillance, brokerage account review, trade report error review, and compliance system oversight
  • Interact wiht fund depositary and third-party compliance consultants in particular for annual reviews


  • 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. required
  • 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
  • Individual should be “solutions oriented” working towards the common goal of the firm
  • Demonstrated leadership skills

Job Reference #1473

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