Our client, a private equity fund with successful fundraises and increased AUM over the past decade, has a need for a strong, insightful Compliance Manager to join their team in a #3 capacity. The Compliance Director will work closely with the Deputy CCO and CCO to oversee the day to day compliance program. This is an exceptional opportunity for a strategic thinking compliance professional who would like to segway their career into a pivotal role collaborating with leadership on compliance initiatives and driving the compliance program to be best in class.
Key Points:
- Hiring manager is excited to onboard someone who is driven, strong at project management, and has a command of compliance programs
- Firm has a long track record and manages north of $40B in assets and a 20+ year history with a tremendous reputation in the industry
- High visibility generalist role working under two tremendous mentors in the compliance department
- Collaborative group of individuals across the organization where growth is promoted from within
Responsibilities:
- Prepare regulatory filings, administer the firm’s compliance program, and oversee Code of Ethics
- Collaborate with the marketing and investor inquiries teams to respond to RFPs, DDQs and other communications
- Drive compliance initiatives across various areas of the program depending on regulatory trends
- Conduct compliance testing and update policies/procedures
- Create risk matrices to outline compliance initiatives
- Monitor the investment/research’s team use of expert networks
- Partner with compliance consultants to conduct mock audits and heed advice on regulatory updates
Qualifications:
- 8-12+ years of experience in an investment advisor (private equity, private credit, hedge fund, etc.)
- Bachelor’s Degree
- Strong command of full suite of compliance responsibilities with the ability to drive and lead projects
- Excellent judgment and ability to communicate with all levels of professionals
- Proactive, driven and mentality of excellence
Compensation Expectations: $225-250K base; $350-500K+ all-in