Our client a boutique consulting firm that offers investment advisers support, is looking to bring on an established and experienced compliance professional to join their team. This hire will be responsible for all facets of a variety of compliance programs including hedge funds and private equity funds.
Key Points
- Opportunity for someone to gain exposure to both hedge fund and private equity clients
- Entrepreneurial group, allowing this to be a key contributor to the growth of the firm
- Exposure to senior management – all members have 20+ years of asset management experience from reputable firms
- Opportunity to join a growing firm and take on a key leadership role over time
- Work from home policy: depending on where a person lives, this position can be fully remote
Responsibilities
- Provide ongoing compliance assistance to clients, preparing regulatory filings, reviewing marketing materials and responding to compliance-related questions; register clients as investment advisers with the SEC
- Conduct compliance reviews, mock audits, meetings and calls with clients; assist clients with SEC examinations
- Draft policies and procedures, while developing appropriate testing procedures; monitor and communicate regulatory changes that may impact clients’ businesses
- Perform compliance employee training; serve as a resource to investment professionals, as it relates to their compliance programs
Qualifications
- At least 7+ years of regulatory and compliance experience within a private fund manager, consulting firm or regulator; extensive experience working with SEC-registered advisors in-house or externally
- Prior experience developing and monitoring compliance programs (prepare regulatory filings, review marketing materials, and conduct/participate in SEC annual compliance reviews); private equity or CFTC/NFA experience is a plus
- Excellent communicating skills, with strong writing skills; knowledge of regulatory requirements is a plus
Compensation: Up to $250K all in