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