Opportunities

 

Private Equity

Senior Counsel and SVP, Compliance, Menlo Park, CA

Senior Counsel and SVP, Compliance (Menlo Park, CA): Our client, a successful private equity firm with north of $40b is eager to bring on an experienced legal and compliance professional to join their team in the California office. The candidate of choice will be reporting to the Chief Compliance Officer, supporting all global compliance efforts.

 

Responsibilities:

  • Assist with developing and updating compliance policies and procedures; identify and mitigate regulatory risks and potential conflicts of interests 
  • Conduct quarterly compliance testing, compliance review and develop employee compliance training; assist with regulatory inquiries and exams 
  • Review investor relations and marketing materials for compliance with SEC rules; pre-clear trades, political contributions and gifts & entertainment
  • Review and assess various finance processes (fee calculations, fund distributions and expense allocations; assist with the preparation of regulatory filings, stayingup-to-date with both state and federal requirements

Qualifications:

  • 5 – 7 years of relevant legal and compliance experience in private equity is preferred (or other alternative asset management experience) and law firm experience with a focus on PE or private funds; J.D. from a reputable law school is required
  • Demonstrated knowledge of compliance and regulatory issues; knowledge of Investment Advisors Act of 1940, Securities Exchange Act of 1934 and other related laws
  • Excellent organization problem solving skills with strong attention to detail; ability to multi-task while working autonomously
  • Must be a team player with a strong sense of judgement and cultural fit; committed to striving for excellence, improving existing systems and processes within the firm’s compliance program]

Job Reference #1482

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