Senior Private Equity Compliance Consultant

White Plains, NY

Job Reference #1838

Our client, a leading compliance consulting firm, is seeking an experienced and motivated professional to join their team. 

Key Points

  • Flexible work environment (most people are in 1 -2 days a week)
  • Opportunity to be part of a new PE arm and to be the main point of contact for new PE clients
  • Firm is huge on training, embraces everyone having a voice, and is focused on being the best in consulting (there is no pressure for sales/business development)
  • Team is small enough and young enough where this new hire will have a lot of influence on how growth happens across PE


  • Guide investment advisors in registering with the SEC
  • Create client compliance programs that adhere to SEC guidelines
  • Build and maintain relationships with clients across private equity
  • Oversee regular compliance reviews
  • Assist with regulatory filings, review of marketing materials and other compliance needs
  • Provide support during SEC examinations
  • Organize employee compliance training for clients
  • Monitor changes in industry regulations and policies and adjust compliance program as necessary
  • Assist in training the firm’s junior staff


  • Prior relevant compliance experience within the investment management industry
  • Strong knowledge of industry regulatory requirements and expertise on the Investment Advisers Act
  • Experience with developing compliance programs and preparing for regulatory filings and exams
  • Regulatory experience or previous compliance consulting a plus

Compensation: $200K-$250K