Compliance Manager

Our client is seeking a Compliance Manager to oversee all aspects of their global compliance program. The successful candidate will have the chance to promote the development of the compliance program in a growing firm and manage relationships with key compliance consultants and outside counsel. This is an exciting opportunity for someone with 8-10 years of compliance experience, preferably within an investment adviser setting.

What You'll Do

As a Compliance Manager, you will be at the forefront of overseeing all day-to-day aspects of the firm’s global compliance program. You will lead several ongoing compliance projects and key advisor relationships. Your role will require exercising sound judgment, taking initiative, executing a range of tasks, and being a true team player. You will have the opportunity to work independently as part of a small team, taking ownership of all aspects of the compliance program.

• Administer and test the firm’s compliance and code of ethics program, including personal trading, political contributions, and gifts and entertainment
• Prepare regulatory filings such as ADV, Form PF, 13F
• Support responses to investor inquiries, including due diligence questionnaires and other certifications
• Liaise with external investor KYC provider; work with IR team and investors as needed
• Train and onboard new Supervised Persons
• Led several initiatives on cybersecurity such as phishing testing, communications archiving
• Review conflicts of interest questionnaires and address potential conflicts
• Manage professionals’ use of expert networks
• Update policies and procedures in response to regulatory changes and operational adjustments
• Work with outside advisors on mock audits and regulatory updates, implementing changes as required
  
  

What You Bring

The ideal Compliance Manager will bring a wealth of experience in compliance, preferably within an investment adviser setting. You will be self-sufficient and proactive, demonstrating your ability to take initiative on both large-scale projects and routine tasks. Your excellent judgment will enable you to communicate effectively with all levels within the organization. You will also bring your strong interpersonal skills to build effective relationships with key stakeholders.

• Bachelor's degree is required
• 8-10 years of compliance experience, preferably with an investment adviser
• Self-sufficient and proactive; willingness to roll up sleeves on all tasks – big and small, challenging and routine
• Excellent judgment; ability to communicate effectively with all levels of the organization
  
  

What Sets This Company Apart

Our client is a globally recognized private equity firm with a distinctive approach to investing.