Our client, a private equity fund with over $5B+ in AUM and a focus on real estate investments, is seeking a CCO to join their team. This role presents an exciting opportunity for a compliance professional with robust experience in real estate or private equity to take on a leadership role and continue to build out the firm’s compliance program. The new hire will be responsible for overseeing all compliance matters, filings, and fostering the culture of compliance while working closely with executive leadership.
Key Points:
- Opportunity to step into a #1 role for a cohesive and dynamic fund.
- Leadership role with a seat at the table and a strong culture of compliance.
- Successful and stable fund with sizeable assets and proven track record.
Responsibilities:
- Oversee all compliance functions to prevent and protect against risk and support the firm’s business, including communication of policy changes, annual and ad hoc compliance trainings.
- Manage SEC filings to include Form ADV, Form PF, and any other necessary submissions.
- Develop, review, and uphold compliance policies for the investment advisory business based on regulatory requirements, industry best practices, and the existing Compliance Manual and Code of Ethics.
- Organize and oversee compliance reviews, mock audits, and regulatory examinations.
- Manage external compliance consultants to ensure effective partnership.
- Monitor all investment transactions to ensure compliance with relevant regulatory policies.
- Provide regulatory review of all marketing materials and investor communications.
- Partner with senior leadership to mitigate potential risks and advise on new regulatory requirements to find alignment between the compliance program and business goals.
Qualifications:
- 10+ years of experience in regulatory or compliance in a real estate or private equity fund.
- Bachelor’s degree in a related field, JD or other advanced degree strongly preferred.
- Strong preference for experience in the real estate industry.
- Strong understanding of SEC regulations and frameworks, to include this Investment Advisers Act and laws and requirements relevant to private funds
- Self-motivated, detail-oriented, organized, and highly communicative with the ability to handle multiple projects.
Compensation Expectations: $225-300K base; $400-600k all-in