Overview

Our client, a firm that offers Fund Administration and other related services is seeking a Compliance Director with prior experience at a Fund Administrator, Private Equity/Hedge Fund, or a law firm. This is a great opportunity to serve as CCO for the firm and to be one of the keystones in this fast growing division. This team is projected to double over the next year. The company takes great pride in hiring only the best professionals and giving them the keys to build something great.

Duties and responsibilities:

• Oversee the firms internal compliance program
• Provide comprehensive compliance services for and maintain communication with Fund Managers and Fund Executives
• Draft, maintain, and update clients’ compliance manual, program policies and procedures
• With initial training and on-going support, prepare all SEC and regulatory filings, including Form ADV, Form D and PF, 13F, 13D, 13G, and other reports
• Perform and monitor anti-money laundering (AML) procedures
• Maintain logs and monitor internal activity for compliance with all compliance policies including: surveillance of email and other communication, trading, conflicts of interests, political and charitable activities public positions, and outside business activities
• Report, address, and remedy compliance violations and ensure appropriate remedies are made to prevent future violations
• Stay abreast of current regulatory policy updates affecting clients
• Perform due diligence activities and prepare due diligence reports
• Assist with regulatory inspections of clients’ compliance programs conducted by the SEC and other regulatory authorities
• Partner with Fund Administration and Managed Operations to ensure a comprehensive cohesive service offering
• Complete additional ad hoc compliance services

Required Skills and Experience:

• Bachelor’s degree
• 3+ years of compliance and/or regulatory experience with a focus on the Investment Advisers Act
• In depth knowledge and understanding of the Investment Advisors Act of 1940
• Private equity and/or hedge fund experience a plus
• Ability to communicate complex compliance concepts to fund managers and fund executives
• Ability to manage multiple clients

Please send resumes to Jack Kelly – JKelly@ComplianceSearch.com

Upload your CV/resume or any other relevant file. Max. file size: 50 MB.