Our client, a leading investment fund with over $8b in AUM, is seeking a hard-working, enthusiastic Compliance Professional to join their team. This position will be working #2 to the CCO and will help build and run their compliance program with a focus on their new Private Equity business.
- Opportunity to join a fast paced, dynamic, passionate compliance team in a newly created capacity
- CCO takes pride in mentorship and career development
- Huge opportunity to make this job what you want and to take ownership of the PE business; there is no shortage of exposure across the compliance program
- Firm encourages a flat, ‘zero ego’, collaborative culture
- Oversee the firm’s Code of Ethics compliance program (Personal securities trading, Pay to Play, etc.)
- Handle all regulatory filings including: 13D, 13G, Form 3/4, etc.
- Conduct post-trade testing and verification of internal controls
- Chaperone investment team’s calls with expert networks and outside research providers
- Review fund marketing materials for compliance with applicable rules
- Assist in conducting mock regulatory examinations and annual compliance reviews
- Bachelor’s Degree and at least 3 – 5 years of relevant compliance experience, preferably from a hedge, private equity or mutual fund
- Experience in conducting and implementing compliance surveillance and testing programs;
- Strong decision-making skills, integrity, and professional demeanor that instills confidence in others
- Ability to prioritize, multi-task, and manage expectations in a fast-paced environment.
- Strong analytical and written and oral communication skill
Compensation: up to $300k all in