Amazing opportunity to join this high profile fund launch!
- Founded in 2019
- This registered investment adviser invests in small-and mid-cap companies in both the public and private equity markets.
- Reporting to the firm’s General Counsel & CCO, Work with and report to the firm’s General Counsel & CCO to manage the firm’s overall compliance program including ensuring compliance with the firm’s compliance policies and procedures.
- Lead and oversee compliance training for new employees, and conduct annual compliance training for the firm.
- Compliance representative on investment team’s external calls with CEOs, and 3rd party advisors related to monitoring and logging calls for MNPI purposes.
- Manage the annual compliance calendar
- Prepare materials for the Compliance Committee, and participate as a member of the Compliance Committee meetings including taking minutes and action items.
- Responsibility for preparing and filing all regulatory filings (e.g., Form ADV, Form PF, Section 13/16 filings)
- Handle email surveillance, brokerage account review, gift and entertainment and political contribution monitoring, expense review and compliance system oversight
- Manage compliance testing, including quarterly post trade testing
- Aid the firm in being “exam ready” for any future SEC exams
- Assist the GC/CCO in various legal matters including reviewing NDAs, service contracts, transfer agreements and other corporate legal matters
Requirements / Qualifications:
- J.D. preferred
- Candidates with 3-4 years of total experience, including law firm experience /or compliance consulting experience [or has served as the lead on compliance for another hedge fund or asset manager]
- Experience working on compliance matters related to investment advisers and hedge funds or private equity funds required
- Desire to focus on implementation of a compliance program
- Strong verbal and written communication skills
- Superior planning and organizational skills