Our client, a $10B private equity fund, is hiring an exceptional individual as their Chief Compliance Officer. This hire will be an integral part of the firm’s cross-functional operations team, collaborating with Legal, Finance, and Investor Relations professionals. With the support of a General Counsel and Legal Analyst, the CCO will oversee the entirety of the compliance program and have a seat at the table with regard to business decisions.
Key Points:
- Opportunity to have influence over the direction of the firm’s compliance program as a trusted advisor to senior management
- Leadership role with autonomy and a voice in evaluating and managing risks within the organization
- Organization consists of exceptional individuals, making this position ideal for someone seeking to be surrounded by and inspired by professionals with impressive careers and achievements
- Firm has stable assets, is currently fundraising, and has an established and strong reputation in the industry
Responsibilities:
- Oversee all aspects (planning, preparation, and review) of regulatory filings
- Manage the entire compliance program from conducting compliance testing to ensuring effective cybersecurity policies and procedures are in place to Code of Ethics work
- Collaborate with the firm’s investment professionals and marketing team to review marketing decks/investor letters/DDQ responses and manage the restricted list
- Stay up to date on regulatory developments and industry trends to ensure the compliance program remains current and effective
Qualifications:
- Bachelor’s degree; JD is not required but will absolutely be considered
- Expertise in regulatory compliance relevant to SEC-registered investment advisers, either as an in-house compliance professional, compliance consultant, or attorney
- Previous experience in the private equity industry is highly desired
- 6++ years of experience required
Compensation: $400-500K all-in (flexibility on base and all-in compensation for the right profile)