Director of U.S. Compliance & Operations

New York, NY

Job Reference #1794

Our client, a global, successful, and growing private equity firm, is seeking a motivated and entrepreneurial compliance professional to join their New York City team. Reporting to the General Counsel and Chief Compliance Officer, this new hire will be the senior most compliance person in the NYC office with resources in London.

Key Points

  • Extremely reputable, growing, and highly regarded private equity firm with a growing presence in the US
  • As the first hire for the NYC compliance department, this new hire will be given autonomy and have a high visibility role among management
  • Individual will have a runway for growth and hold a leadership position within the Legal and Compliance team
  • Firm promotes a culture of teamwork and support

Responsibilities

  • Support the General Counsel, CCO and COO with all compliance and operational matters
  • Advise senior management across the firm on compliance needs
  • Develop and implement policies and procedures
  • Manage regulatory projects, regulatory filings and reporting
  • Prepare for any SEC exams
  • Implement and monitor employee compliance policies and procedures
  • Work collaboratively with outside service providers to adjust to any regulatory changes or issues
  • Review marketing material and other firm communications

Qualifications

  • J.D. required
  • 5 or more years of relevant compliance experience in the investment management industry (ideally private equity or private debt)
  • Proactive team player willing to work with many areas of the firm
  • Strong knowledge of a wide array of compliance issues
  • Ability to project manage
  • Confidence to offer productive solutions to all team members