Our client, a successful investment fund with over $2B in capital, is hiring their second compliance professional to join their team GC/CCO in a generalist capacity. This new hire will work across all areas of the compliance program with a direct path to become CCO of the fund in several years.
Key Points:
- Extremely bright founder with a tremendous reputation in the industry
- Firm invests in both public and private markets
- First fully dedicated compliance hire under the GC/CCO offering exposure to all areas of the program
- The GC/CCO encourages an entrepreneurial mindset where ideas of all kinds are welcome
- Work-from-home policy: 4 days in the office and 1 day from home
Responsibilities:
- Develop and implement compliance policies and procedures and oversee employee compliance training
- Provide support with annual testing and reporting and get the firm “exam ready”
- Review marketing materials and other marketing communications
- Maintain relationships with outside vendors to ensure compliance with the firm’s policies and procedures
- Support GC/CCO with trade-related compliance matters
- Serve as an internal resource for employees and update internal policies, procedures, and other information as needed
Qualifications:
- 4+ years of relevant compliance experience out of a fund
- Bachelor’s degree required; J.D. a plus
- Strong knowledge and understanding of the Investment Advisors Act of 1940, Investment Company Act, and Securities Act
- Experience with U.S and international regulators
- Confidence to effectively communicate with all levels of management
- Ability to work independently as well as part of a team in a fast-paced, demanding environment
Compensation: $200-300K all-in