Title: Compliance Officer
Firm: $10B+ Private Equity Firm
Location: New York, New York
Highlights:
Opportunity to oversee and manage the firm's compliance program as the first US based legal/compliance hire
Opportunity to learn every aspect of investment advisor compliance and improve upon new processes, automation, etc.
Phenomenal culture, perks, and benefits - close knit team who has a great sense of humor
CCO is eager to hand off large pieces of the program in order to give this individual autonomy and growth
Description:
Oversee and monitor the firm's overall compliance program
Ensure compliance with Code of Ethics (managing personal trading, political contributions, outside business activities, and
compliance certifications
Conduct testing and surveillance of key compliance controls
Lead the annual compliance review in collaboration with external consultants
Manage regulatory filings including Form ADV and Form PF
Review marketing materials to ensure compliance with SEC filings
Requirements:
4+ years of experience in a similar position at an alternative asset manager or compliance consulting firm
BA/BS or equivalent combination of training and experience (JD optional)
High level of attention to detail,self-motivated, proactive, resourceful, strong organizational skills, willingness to work hard
Strong written and oral communication and interpersonal skills
Willingness to grow in areas of responsibility and demonstrate curiosity and an eagerness to learn