Chief Compliance Officer, Private Equity

Our client, A $100bn + Asset Management firm is looking to hire a Chief Compliance Officer.

Responsibilities:

• Provide compliance support and oversight of the firm’s investment advisory businesses including credit and separately managed accounts
• Assist in implementing the firm’s policies and procedures across the various business lines
• Assist in monitoring and testing the firm’s credit compliance program
• Prepare quarterly and annual compliance reports for senior management, the Risk & Compliance Committee and the newly established BDC board of directors
• Prepare federal and state regulatory filings and other related compliance documentation, and partner with managing regulatory exams and inquiries
• Review and approve credit marketing materials
• Review certain corporate and loan transaction documents
• Partner with Investment, legal, Finance and IT teams to ensure compliance efforts are integrated
• Participate in all Risk & Compliance Committee meetings
• Other duties as assigned

Requirements:

• 10+ years of relevant experience out of a Bank or an Asset Management Firm
• Series 7/24 a plus

Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

ID 36905