A small, successful and rapidly growing Private Equity firm with ~$3 Billion AUM is seeking a Compliance Manager who, after getting acclimated with the firm, will train to take over and become the CCO, within approximately 6 months.
The role has full responsibility for day to day management of the firm's compliance program.
Initially, the person will report to the Chief Compliance Officer and work closely with the firm's investment team, accounting staff, outside counsel and/or advisors. The ideal candidate will be highly organized, possess a high level of attention to detail and have the capacity to work on multiple projects under time constraints.
This individual will be involved in, but not limited to, the following critical activities:
Full responsibility for day to day management of the firm's compliance program Keep up to date on all SEC Registered Investment Advisers Act compliance rules and regulations. Manage various compliance and regulatory related filings and databases, including Form ADV, Form D, Form PF, PTCC Compliance Science, OFAC searches, AML/KYC diligence, etc... Maintain Policies and Procedures Manual, Code of Ethics, Employee Trade monitoring Develop and maintain an ongoing advisory compliance education program and provide training to firm personnel, as necessary Conduct annual risk assessment and annual reviews Maintain detailed compliance calendar Review, various legal, banking or other documents (including but not limited to: limited partnership agreements, LLC agreements, formation documents and other fund governance matters) utilizing file management system Assist with internal fund formation and other fund or corporate governance matters Draft, track, and memorialize Investment Committee meeting minutes, internal and external memoranda Provide support and complete tasks on special projects as assigned both on routine and ad hoc matters
EDUCATION, SKILLS AND EXPERIENCE
The ideal candidate will possess the following experience and core competencies:
Bachelor's Degree required, legal background desirable. 5-10 years' direct compliance experience in a private equity firm or law firm Excellent project/time management skills, including the ability to work on multiple projects simultaneously under tight deadlines Superior organization, problem-solving, written and oral communication skills Unquestionable ethics and integrity Ability to work both autonomously and as part of a team
Our client, a private equity and venture capital firm, specializes in direct investments, secondary direct, secondary indirect, and fund of fund investments. This is a hands on role, and the successful candidate must be prepared to work autonomously, to manage and oversee all aspects of the Compliance program. A JD, and previous Private Equity Compliance experience is strongly preferred.
Michael Tuller: 212-997-3169 firstname.lastname@example.org
Internal Number: 4761438
About The Compliance Search Group, LLC
eFinancialCareers is a career site specializing in financial services.