A global private equity, alternative investments, and asset management firm seeks a Compliance Officer, VP.
The Compliance Officer is responsible for supporting the compliance function on a global basis across all areas of compliance. The individual must be able to provide compliance guidance that balances regulatory requirements, risk mitigation and business objectives.
Summary of essential job functions
Responsibilities span all aspects of a 206(4)-7 Compliance Program, with a focus on:
- Interact with Capital Development and Investor Relations team to provide compliance and regulatory support of new product offerings, investor reporting and the development of performance metrics. Responsibilities include review of marketing and advertising materials, including but not limited to fund offering materials, annual investor conference presentations, website and other social media, periodic and ad hoc investor updates, responses to due diligence questionnaires
- Responsible for filings and ongoing reporting of various private fund offerings under AIFMD and other jurisdictions
- Interact directly with Investment Professionals and Fund Administration/Operations to facilitate compliance with fund guidelines, side letter requirements and custody rule
- Maintain oversight of local registration and licensing requirements in the firm’s foreign office (e.g., UK, Hong Kong, Australia)
- Manage compliance calendar and responsible for compliance monitoring and testing program
- Field ad hoc inquiries from employees on compliance matters and assist with the preparation and presentation of compliance training materials
- Track regulatory developments with ability to identify impact to business and drive effective solutions; draft periodic notices on compliance issues of interest to functional areas and draft compliance policies and procedures.
- Prepare periodic written reports, including the quarterly/annual compliance reports to senior management
- Prepare and file various SEC and other regulatory filings required for registered investment advisers as well as security holdings reports for securities listed on both US and foreign exchanges
- Conduct AML and KYC review as part of onboarding of new investors
- Bachelor Degree; J.D.
- Minimum of 5-7 years’ compliance and regulatory experience with SEC registered asset management firm with global footprint, preferably with exposure to alternative/private equity products, business development companies and an affiliate broker dealer
- Strong knowledge of the federal securities laws, including but not limited to the Investment Advisers Act of 1940, Investment Company Act of 1940 and related regulatory requirements attendant to private fund offerings, reporting of security holdings, AML and OFAC.
- Familiarity with corresponding requirements in various foreign jurisdictions a plus (e.g., UK, Hong Kong, Australia)
- Familiarity with FINRA broker-dealer licensing requirements also a plus
- Good organizational and project management skills
- Strong individual contributor with the ability to work effectively as a team
- Well-developed interpersonal skills with an ability to establish credibility and to interact with employees throughout the organization and external advisors
- Strong verbal and written communication skills, including the ability to effectively communicate complex technical compliance issues
- Provide training and mentorship to junior compliance staff members
Please email resumes to Jack Kelly at Jack@ComplianceSearch.com.