Compliance Generalist

New York, NY

Job Reference #1829

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. 

Key Points

  • 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

Responsibilities

  • 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

Qualifications

  • 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