Our client, a $2B+ private equity fund is currently looking to fill a newly created position as their Compliance Officer. Supporting the Chief Compliance Officer and Associate General Counsel, this position offers the chance to engage in various areas such as compliance, governance, marketing, ESG, and deal-related affairs.
Key Points:
- Offering a fantastic chance to receive guidance and collaborate with an experienced professional in a thriving organization
- The organization has extremely stable capital and is growing in assets under management
- Excellent opportunity to be involved in diverse areas of compliance
Responsibilities:
- Support and eventually oversee monthly testing, which involves collecting documentation and proof of compliance with various tests
- Aid in conducting annual compliance reviews in both the US and UK, and any mock audits
- Help update the compliance manuals and code of ethics for both the US and UK annually, and continuously as enforcement actions and regulatory matters evolve
- Oversee the process for reviewing employee personal trades, employee certifications, and employee pre-clearance requests
- Assist in addressing AML/KYC requests, compliance reviews of marketing materials, and investor diligence requests
- Collaborate with CCO and other departments on various SEC, FCA, Cayman, and other regulatory filings
- Aid corporate governance matters
- Support various insurance renewals, ESG policies and processes, and managing co-investment processes
Qualifications:
- Bachelor’s degree; JD not required but advantageous
- 2-5 years of compliance experience at an SEC-registered investment adviser or compliance consulting firm, and private equity exposure preferred
- Strong understanding of the SEC regulatory framework and SEC cyber and disaster recovery best practices as well as various data privacy regulations
- Expertise in UK FCA regulations and filings preferred
- Ability to quickly and positively adjust to shifting demands and priorities
Compensation Expectations: $120-175K base; $150-225K all-in