Venture Capital

Compliance Manager, Westchester County, NY

Compliance Manager (Westchester County, NY): Our client, an established and successful venture capital firm with over $5B in AUM, is looking to bring on a well-rounded compliance professional to join their legal and compliance team. This is a newly created position offering this individual an exclusive opportunity to build out a best-in-class compliance program for this tremendous organization.  Since the firm is not currently registered, the responsibilities will revolve largely around policy creation, conflict tracking, overseeing their ESG policies, and preparing regulatory filings.  Additionally, this new hire will be involved developing legal policies and procedures to enable the most efficient closing of transactions.  


Key Points: 

  • Organization is known as one of the top ranked firms within its investment space
  • Newly created position offering this individual to “create their own mark” within the organization
  • Firm has highlyrecognizable and notable portfolio company investments


  • Oversee all regulatory matters, including regulatory filings with US and global securities regulators, conflict tracking and pre-clearance, and policy creation/management; supervise employee compliance training and onboarding, as well as ESG program management
  • Interact closely with investors, operations and portfolio services teams; coordinate all legal and compliance obligations for the firm
  • Develop and maintain legal policies and procedures, enabling effective transaction closings (wire instruction verification, fund documentation compliance, and background checks)
  • Respond to portfolio company information requests as it relates to fund structure; develop and streamline the knowledge sharing process for organizational tools for the legal team
  • Oversee the firm’s liability insurance program, monitoring portfolio company insurance program while assisting portfolio companies with insurance needs


  • At least 5 years of relevant regulatory compliance experience preferably with strong project management skills
  • Knowledge/experience with Investment Advisers Act is required 
  • Strong communication skills, with the ability to adapt to different audiences and condense complex ideas/messages
  • Ability to manage workload independently and prioritize tasks to meet deadlines
  • Highly motivated– individual must demonstrate initiative and eagerness to take on the compliance work

Job Reference #1617

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