VP/Principal Compliance - Private Equity

Firm:

Private Equity

Position Overview

We are seeking an experienced generalist for the Compliance Strategy and Operations team. The candidate will report to the Compliance Head of Operations and Strategy, and assist in areas such as new country expansions, mergers & acquisitions, team training initiatives, management reporting and regulatory filing. We are looking for a compliance professional with general experience in compliance program operations with experience in regulatory filing (Form ADV, Form PF, etc.). The ideal candidate will have experience in business management, database management, organizational development or related interests.

Responsibilities:

• Manage the tracking of multiple projects related to new acquisition integrations and new territory authorizations.
• Administer and maintain a compliance calendar of various periodic and ongoing deliverables.
• Assist in the submission of various regulatory reports and/or administer the compliance calendar to ensure the responsible parties submit regulatory requirements on a timely basis.
• Assist in developing, implementing, and maintaining the firm’s policies and procedures.
• Assist in preparing and delivering internal compliance training/education sessions, including facilitating cross training within the team.
• Conduct internal compliance reviews and provide support for responses to regulatory examinations.
• General compliance tasks as needed, including working with compliance team members that specialize in other functional areas.
• Liaise with the Investment Compliance team's key client groups (trading, portfolio management etc). Research and respond to inquiries from same.
• Manage the implementation of compliance-related projects, identify areas of compliance vulnerability and risk, develop/implement corrective action plans for resolution of issues, and provide recommendations for avoiding similar issues in future.
• Synthesize and organize information, create team reference tools, and assist with enhancing and maintaining team recordkeeping practices.
• Work with the broader Core Compliance team to streamline workflow and make recommendations on ways to increase efficiency while maintaining internal controls. Actively seek tools and technology to improve current operations and processes.

Qualifications:

• Bachelor’s degree or higher.
• Must have at least 8+ years work experience in investment management, financial services, or industry-related compliance experience.
• Experience in private markets, alternative investments, real assets, and/or private funds.
• Working knowledge of Investment Company Act (preferably BDC regulations) and advisory functions is preferred, as is prior exposure to asset management compliance and its related rules and regulations.
• Excellent organizational, oral and written communication skills

Job ID: 38865