$5+ Billion Growing Private Equity Firm Seeks a Chief Compliance Officer
*Reporting to the General Counsel (GC)
*Responsible for Daily Monitoring of Investment Compliance Requirements
*Assist in Overseeing the Firm’s Compliance Program, Policies, and Procedures
*Responsible for Review of Regulatory Conflicts Pertaining to Investments Made Under Investment Company Act/Advisers Act (1940)
*Improve Internal Controls & Compliance Policies & Procedures
*Work Closely with Trading & Portfolio Management
*Review Marketing Materials
*Manage Code of Ethics and Regulatory Compliance Manual
*Assisting with the preparation of regulatory filings (Form ADV, Form PF)
*Assist in Preparing and Conducting Internal Compliance Training
*Compliance Reporting to Senior Management
*Assist in Preparing for and Responding to any Regulatory Inquiries or Examinations
*Assist in Building out the Compliance Team with the GC
Qualifications
*8-12+ Years Investment Compliance Experience at Growing Private Equity Firm
*JD
*Strong Exposure to Private Equity Secondaries
Base Salary 250k-275k + Strong Bonus. ~500k-550k all in.
Phenomenal Opportunity to Step in as CCO at this $5+ Billion Growing Private Equity Firm. Excellent Benefits & Full Comprehensive Package. Hybrid Schedule.
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