Compliance Director

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Summary

Amazing opportunity to join this high profile fund launch!


Company Information:
  • Founded in 2019
  • This registered investment adviser  invests in small-and mid-cap companies in both the public and private equity markets.

Job Description:
  • 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

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