An alternative asset management firm focused on private equity fund of funds, co-investment, private credit is seeking a Chief Compliance Officer. Since its inception in 2008, the Firm has managed approximately $4.6 billion in commitments.
The Chief Compliance Officer (CCO) will assist in the legal, regulatory, and transactional issues for the firm’s businesses, with a heavy focus around the Investment Advisor’s Act of 1940 (40 Act). The CCO will report to the Managing Partners, with a strong and close working relationship between the candidate and the senior management of the firm.
Responsibilities and Duties
Lead the strategy, management, and administration of the Compliance program, including developing and implementing policies and procedures, process improvements, monitoring the effectiveness of controls and performing compliance review functions, and overseeing the preparation and filing of regulatory filings around the 40 Act.
Work directly with senior management and leaders of the dedicated teams to provide advice on the implementation of strategic and tactical business plans and objectives.
Participation in projects concerning the implementation of new legislation and regulatory requirements.
Responsible for legal planning, working with outside counsel and monitoring transactional execution at the investment level.
Responsibility for the compliance review on new products, marketing materials, and investor documentation.
Working and coordinating with regulators on audits.