Chief Compliance Officer

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Summary

Looking for a Chief Compliance Officer to join the team!


Company Information:

Global Private Equity/Real Estate Fund


Job Description:

• Report to the Chief Compliance Officer/General Counsel
• Conduct internal testing and regular audits as part of the Firm’s 206(4)-7 annual reviews, as well as regular surveillance and ad-hoc internal investigations and provide written reports to senior management
• Manage the Firm’s Best Execution and Proxy voting programs
• Maintain and update the Firm’s Compliance Manual and monitor employee compliance with those policies and procedures
• Organize and perform regular compliance training programs
• Prepare and file Form ADV, Form PF, Form D, Form 13H, Form 13D/G, Form CPO-PQR, FATCA reporting, TIC-SLT, annual CFTC filings, and other related regulatory filings
• Research and implement changes to the Firm’s compliance program related to on-going Dodd-Frank compliance initiatives, including CFTC and SEC compliance, and applicable foreign jurisdiction regulation
• Review all marketing materials, and investor due diligence requests


Requirements / Qualifications:

6 to 11 years experience

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