Private Equity

Director of Compliance, New York, NY

Director of Compliance (New York, NY): Our client, a successful and dynamic private equity firm with over $15B in AUM, is looking to bring on an experienced compliance professional to join their NYC team as the seek to expand their product offerings.  This is an opportunity to join a lively team of three bright individuals and assist across all aspects of their compliance program.  The team has a high expectation for folks’ work products so this new hire must take pride in their work and see the advantage of helping the group build out their investment offerings and having a robust compliance program to support the growing business.  The firm has a tremendous reputation in the industry and boasts one of the most generous benefits packages including unlimited vacation days!   

Key Points: 

  • Newly created position with a tremendous need so this Individual will have the chance to make a significant impact internally
  • Organization has a TON of perks – we’ve visited hundreds of offices and this is amongst the nicest: full gym with Peloton bikes, yoga/barre/meditation classes, free lunch daily, nursing room, and other amazing benefits
  • Working ona fun team of three – the two hiring managers are engaging, personable, funny, and dedicated to finding a long-term hire


  • Create and implement all compliance policies and procedures (compliance manual, code of ethics, insider trading and material non-public information, personal trading, conflicts of interest, best execution, expense and trade allocations)
  • Prepare regulatory filings, working closely with back office teams (Form ADV, Form PF, 13F, 13G, BE-185); assist with the annual 206(4)-7 compliance review 
  • Prepare internal and external audits; conduct compliance testing; liaise with investors, and regulatory examinations and investigations
  • Review investor communications, promotional materials and fund documentation
  • Monitor trade surveillance, oversee MNPI matters including chaperoning calls, and review trading and portfolio management activity 
  • Monitor ongoing legal and regulatory developments, implementing new compliance initiatives as it relates to legal and compliance business situations
  • Conduct employee training and prepare training materials 
  • Oversee contacts with thirdparties, such as expert networks and alternative data providers 


  • 6 – 9 years of compliance experience with a hedge fund is required 
  • Individual must be able to work autonomously and consider themselves a ‘go getter’ as much of the work that s/he will be doing will be independent of the remainder of the team 
  • Excellent judgement across compliance areas with thorough understanding of both the investment management industry and U.S. and international securities laws applicable to private funds, including the Investment Advisers Act of 1940, the Investment Company Act of 1940 and ERISA 
  • Exceptional attention to detail and organizational skills; comfortable working efficiently and effectively on multiple deadlines
  • Team player, with theability to take initiative on new projects; must have a professional demeanor with a long-term interest in compliance

Job Reference #1611

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