Our client, a $10B private equity firm, is seeking to hire a compliance professional to join their team as a generalist. This individual will work directly with the Chief Compliance Officer and General Counsel, taking on a broad array of regulatory, legal, and compliance responsibilities.
Key Points:
- Opportunity to work directly with the GC/CCO, engaging with and gaining extensive exposure to regulatory, legal, and compliance matters. He will prioritize your growth, development and learning.
- Take on a newly created role and opportunity to significantly influence and impact both the firm and the team.
- Offer excellent opportunity for career growth, opening the door to advancement into senior roles.
- The firm has a long-standing presence in the industry and a track record of strong growth and continued expansion.
Responsibilities:
- Manage the firm’s Compliance Manual and Code of Ethics.
- Collaborate closely with outside counsel, the Chief Compliance Officer, and compliance consulting firms to oversee, implement, and maintain all aspects of the compliance program.
- Collaborate with the Director of Information Technology on updates to business continuity and security incident response plans.
- Collaborate with the Director of Investor Communications to prepare reverse solicitation letters for foreign investors and handle other communications.
- Support the CCO, CFO, and Director of Investor Communications with the fundraising process and marketing materials.
- Collaborate with the Finance, Deal, and Investment teams to manage documentation related to investments.
- Supervise the review of electronic communications surveillance programs.
- Arrange compliance documentation, including compliance logs, side letter compliance matrices, expense allocation summaries, management fee calculations, transaction advisory fee logs, and allocation records.
- Support the “know your customer” and anti-money laundering due diligence processes for potential investors and counterparties.
- Aid with Corporate Transparency Act filing requirements.
- Support associates and analysts with compliance-related provisions of NDAs using established precedents.
- Monitoring activities to assist the Finance and Compliance functions, and Ad hoc projects.
Qualifications:
- Bachelor’s degree required; JDs are also welcome.
- 2+ years of compliance experience at a financial services firm, experience in Private Equity or Venture Capital is a plus.
- Eagerness to learn and use technology to achieve business objectives.
- Ability to collaborate effectively across departments and with all levels of internal management.
- Capability to manage relationships with external stakeholders.
- Strong professionalism, high attention to detail, intellectual curiosity, proactivity, self-starter mentality, and a focus on identifying work efficiencies and improving processes.
Compensation: Base: $100-150k + bonus