An international Private Equity firm seeks a Compliance professional for their US offices.

The firm seeks to recruit a US Compliance Officer to support the Chief Compliance Officer who is based in London. The US Compliance Officer will be responsible for all compliance matters as they affect the US office.

Role Opportunity & Responsibilities

To support the Chief Compliance Officer, responsibilities include:

    • carrying out compliance monitoring against the Global Compliance Manual rules, including, personal account dealing, gifts and entertainment, conflicts of interest and political donations,
    • producing reports for senior management on compliance monitoring findings,
    • leading on anti-money laundering (AML/ CFT) checks on US investors and on deals,
    • taking responsibility for the US compliance registers, including (i) breach register, (ii) conflicts of interest register, (iii) leaks register, (iv) personal account dealing register, (v) gifts and entertainment register and (vi) political donations register,
    • ensuring that all records are being appropriately maintained in PTCC.
    • submitting SEC regulatory filings (ADV and Form PF) on a timely basis,
    • assisting with the development of the US compliance monitoring programme,
    • responding to US investor queries, and
    • developing the compliance procedures and policies in accordance with best practice.

Key Requirements

We are looking for an experienced compliance professional with a good working knowledge of the US regulatory rules and experience in private equity and/ or credit.

Ideally the candidate will be a graduate with a professional accountancy or legal qualification and a general understanding of US regulatory requirements as they apply to a private equity and credit manager.

  • A self-starter who embraces responsibility and can manage their own time;
  • Detailed understanding of SEC regulatory rules and standards;
  • An excellent communicator, able to build key relationships both internally and externally;
  • Ability to identify and report (internally) significant issues;
  • Ability to articulate clearly (verbally and in writing) views, opinions and conclusions reached resulting from monitoring against SEC standards;
  • Ability to provide adequate challenge at all levels;
  • Strong analytical skills;
  • An excellent communicator, able to build key relationships both internally and externally;
  • Ability to interpret regulatory rules and guidance; and
  • Ability to assess whether the application of regulatory rules and standards is appropriate.


Please email resumes to Jack Kelly at JKelly@ComplianceSearch.com


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