Deputy Chief Compliance Officer

New York, NY

Job Reference #1914

Our client, an established private equity firm with north of $15B assets, is in search of an ambitious and energetic professional as their Deputy Chief Compliance Officer.  The selected candidate will be responsible for overseeing all facets of the firm’s compliance program and have a direct path to become CCO of the fund.

Key Points:  

  • Excellent opportunity to assume the CCO role in short order
  • Firm maintains strong assets and has an established and tremendous reputation in the industry
  • Organization consists of exceptional individuals, making this position ideal for someone seeking to be surrounded by and inspired by professionals with impressive careers and achievements

Responsibilities:

  • Supervise all aspects (planning, preparation and review) of regulatory filings
  • Collaborate with key stakeholders to address priority regulatory matters
  • Oversee and perform testing of firm policies and procedures, and conduct firm-wide and other training
  • Review and approve external communications including marketing materials
  • Provide strategic advice to management on business matters pertaining to compliance
  • Advise on potential risks and actively guard against compliance risks impacting the firm
  • Stay up to date on regulatory developments and industry trends to ensure the compliance program remains current and effective
  • Improve the firm’s AML and privacy programs, and manage compliance resources

Qualifications:

  • JD required along with 8+ years of relevant experience
  • In-house experience at a registered investment adviser (preference for multi-strategy exposure) required
  • Expertise in simplifying complex regulatory requirements and compliance rules into clear, concise bullets or sound bytes
  • Demonstrated strong project management skills, with the ability to work independently and lead projects to completion
  • Excellent analytical skills with experience in prioritization, risk evaluation, issue identification, and resolution
  • Capability to handle sensitive matters across all levels of the firm with discretion and confidentiality
  • Proactive attitude and business-focused approach to compliance
  • Team-oriented with the ability to build relationships and earn respect across the firm.

Compensation: $200-300K base; $500K+ all-in dependent on experience & level