Compliance Officer

Compliance Officer (New York, NY): The chance to join a thriving private equity fund in a #2 capacity is here. If you are an ambitious, intelligent, and curious compliance professional seeking the mentorship of an exceptionally bright, talented, and KIND GC & CCO, please read on. Our client, a private equity firm with tremendous prospects and growth trajectory, has created a Compliance Officer position to sit in the #2 seat and offering someone the chance to engage in various areas such as compliance, governance, marketing, ESG, and deal-related affairs.

Key Points:

Fantastic opportunity to receive guidance and collaborate an exceptional team in a thriving organization

Organization has extremely stable capital and is growing in assets under management

Broad compliance generalist role with potential to take on new projects and tasks over time

Responsibilities:

Oversee monthly compliance testing

Conduct annual compliance reviews in both the US and UK, and any mock audits

Update the compliance manuals and code of ethics for both the US and UK annually, and continuously as enforcement actions and regulatory matters evolve

Review marketing materials and investor diligence requests

Collaborate with CCO and other departments on various SEC, FCA, Cayman, and other regulatory filings

Qualifications:

Bachelor’s degree; JD not required but advantageous

3-6 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

Desire to work in a dynamic team environment that promotes collaboration

Compensation Expectations: $120-175K base; $150-225K all-in

Job Reference #1934