Compliance Officer

New York, NY

Responsibilities

 

  • Manage the firm’s overall compliance program; spearhead initiatives around new compliance topics
  • Review and approve external communications including marketing materials
  • Prepare regulatory filings (Form ADV)
  • Aid the firm in being “exam ready” for any future SEC exams
  • Serve as a resource for investment professionals and
  • outside counsel; attend Investment Committee meetings
  • Conduct research with respect to compliance and regulatory issues; develop new compliance initiatives
  • Manage projects involving third-party services providers and management of vendor due diligence
  • Review and test of compliance processes and procedures
  • Attend compliance conferences and seminars
  • Perform employee training
  • Handle email surveillance, brokerage account review, trade report error review, and compliance system oversight
  • Interact with fund depositary and third-party compliance consultants in particular for annual reviews

 

Requirements

 

  • 7+ years of compliance experience from a private equity fund (strongly preferred), venture capital firm, hedge fund, traditional asset manager, compliance consulting firm, or SEC
  • J.D. would be nice to have
  • Sincere desire to work in a compliance capacity and take over a compliance program
  • Individual will need to be comfortable handling a full suite of compliance responsibilities – taking swings at tasks that may be below their paygrade, and those that are above their paygrade
  • Proactive attitude and ability to integrate oneself into an organization is imperative to the success of this hire
  • Individual should be “solutions oriented” working towards the common goal of the firm
  • Demonstrated leadership skills

 

 

 

 

 

Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 11/6/2020
Salary $115,000 - $140,000 + bonus






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