Our client, an investment manager with over $2B in assets and a unique set of investment strategies, is hiring for a strong compliance professional to support their GC/CCO. Working for a dynamic fund with a decade plus track record, the Compliance Associate will gain exposure to all aspects of the compliance program and work under the leadership of a successful, fair, and kind GC/CCO.
Key Points:
- The fund has unique investment offerings that expand private equity, venture capital, and crypto allowing this new hire a chance to gain exposure across a number of strategies
- GC/CCO is fantastic – intelligent, excited to train, communicative, dynamic, as well as understanding and thorough
- Boutique fund in size offering a ton of visibility across the firm
Responsibilities:
- Work with the GC/CCO on the oversight of the compliance program and compliance testing
- Maintain the firm’s compliance manual and compliance calendar
- Administer the firm’s Code of Ethics and assist with regulatory reporting
- Keep abreast of regulatory developments and propose edits/changes to the compliance manual
- Conduct vendor due diligence and perform investment monitoring
- Alongside the GC/CCO, review marketing materials, pitchbooks, and DDQs
Qualifications:
- Bachelor’s degree required; JD optional
- 3-6 years of related legal or compliance experience at a compliance consultant, asset manager, hedge or private equity fund
- Individual should be self-motivated, have strong organizational skills, be proactive and resourceful, and have a willingness to work hard
- High level of professionalism and ability to work seamlessly with internal and external parties
- The team appreciates attention to detail and a sense of humor
Compensation: up to $200-250K all-in depending on experience