Our client is a rapidly expanding Private Equity firm with over $5B in AUM. As they continue to scale its platform across strategies and geographies, they’re adding talent to their compliance team at the director level. This is a broad, high-impact compliance role to drive the build-out of its internal compliance infrastructure. The team is seeking a compliance generalist with an entrepreneurial attitude to take ownership of processes and can help institutionalize processes within a fast-paced environment.
Key Points:
- Opportunity to help build and formalize an evolving compliance program in partnership with senior leadership and external consultants
- High-growth, entrepreneurial investment platform with significant recent fundraising success
- Impact role within a lean compliance function with meaningful ownership and direct senior visibility
- Collaborative, open-concept office culture with four days in office
Responsibilities:
- Oversee and manage the firm’s day-to-day compliance program across adviser and fund-level activities
- Serve as the primary internal compliance lead and key liaison with the firm’s external compliance consultants
- Manage regulatory obligations and compliance oversight for the firm’s global operations
- Oversee compliance aspects of the firm’s fundraising processes, including investor due diligence questionnaires (DDQs) and KYC requests
- Maintain and enhance the firm’s compliance policies and procedures to ensure they remain aligned with evolving regulatory expectations and firm growth
- Oversee regulatory filings including Form ADV, Form PF, and other applicable regulatory requirements
- Manage the firm’s annual compliance review process and ongoing regulatory monitoring with external compliance consultants
- Provide practical compliance guidance to internal stakeholders across the firm, including investment, operations, and senior management teams
Qualifications:
- Significant compliance experience within the asset management industry, ideally in-house at a private fund manager
- Broad experience across investment adviser compliance programs, including regulatory filings, policies and procedures, and investor-related compliance matters
- Experience supporting fundraising compliance processes, including DDQs and KYC requests
- Self-starter with a hands-on approach and the ability to operate effectively in a lean team environment
- High ethical and professional standards with strong professional judgment
- Legal background or JD is welcomed but not required
Compensation Expectations: $200-250K base; competitive all-in