Compliance Manager

Compliance Manager (New York, NY): Our client, a private equity fund with successful fundraises and increased AUM over the past decade, has a need for a strong, insightful Compliance Manager to join their team in a #3 capacity. The Compliance Manager will work closely with the Deputy CCO and CCO to oversee the day-to-day compliance program. This is an exceptional opportunity for a strategic-thinking compliance professional who would like to segway their career into a pivotal role collaborating with leadership on compliance initiatives and driving the compliance program to be best in class.

Key Points:

Hiring manager is excited to onboard someone who is driven, strong at project management, and has a command of compliance programs

Firm has a long track record and manages north of $40B in assets and a 20+ year history with a tremendous reputation in the industry

High visibility generalist role working under two tremendous mentors in the compliance department

Collaborative group of individuals across the organization where growth is promoted from within

Responsibilities:

Prepare regulatory filings, administer the firm’s compliance program, and oversee Code of Ethics

Collaborate with the marketing and investor inquiries teams to respond to RFPs, DDQs and other communications

Drive compliance initiatives across various areas of the program depending on regulatory trends

Conduct compliance testing and update policies/procedures

Create risk matrices to outline compliance initiatives

Monitor the investment/research’s team use of expert networks

Partner with compliance consultants to conduct mock audits and heed advice on regulatory updates

Qualifications:

8-12+ years of experience in an investment advisor (private equity, private credit, hedge fund, etc.)

Bachelor's Degree

Strong command of full suite of compliance responsibilities with the ability to drive and lead projects

Excellent judgment and ability to communicate with all levels of professionals

Proactive, driven and mentality of excellence

Compensation: $175-225K base; $250-350K+ all-in

Job Reference #2964169