$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.
Job Title:Chief Compliance OfficerLocation:CityScapeWhat you'll do:As the Chief Compliance Officer (CCO) you'll oversee and manage the regulatory compliance framework of Western Alliance Bank and all affiliated entities. This role ensures that the bank adheres to all applicable...
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