Compliance Officer

4 weeks ago

San Diego, United States Larson Maddox Full time

About the Firm

Our client is a $2B AUM Investment Management firm focused on high-impact investments within the energy transition and critical infrastructure sectors. Their team leverages deep industry expertise to drive value creation across their portfolio. They are committed to fostering a partnership-driven culture rooted in integrity, collaboration, and transparency.


About the Role

We are seeking a highly motivated individual who will play a pivotal role in ensuring adherence to regulatory standards and internal policies, contributing to the firm’s commitment to ethical and compliant business practices as the firm grows. You will work closely with the CFO and Chief Compliance Officer (CCO), interacting with executives and external compliance consultants to address complex compliance issues and maintain the highest standards across all operations.


Responsibilities:

  • Manage compliance calendar and ensure timely filings for regulatory requirements, including Section 13 filings, Form ADV, and Form PF.
  • Conduct regular testing of compliance policies and procedures to ensure efficacy and adherence to regulatory standards.
  • Read, interpret, and draft policies to address regulatory requirements and firm-specific needs. Document potential conflicts of interest and implement controls to mitigate risks.
  • Monitor electronic communications to identify and mitigate compliance risks, working proactively to address any issues.
  • Review marketing and investor communications to confirm that all required disclosures are accurate and compliant.
  • Oversee the administration of the firm’s Code of Ethics, including monitoring compliance reporting, managing pre-clearance requests, and ensuring adherence.
  • Assist in updating compliance policies, procedures, and training materials to reflect current regulatory expectations and industry best practices.
  • Draft compliance-related communications and support the delivery of training sessions for staff.
  • Collaborate closely with senior management and external compliance advisors, providing insights and recommendations to support effective risk management and informed decision-making.


Qualifications:

  • Bachelor’s degree required; advanced degrees or compliance certifications (e.g., IACCP) are a plus.
  • 4-8 years of experience in compliance within a registered investment advisor (RIA) or compliance consulting firm, ideally within private equity or related sectors.
  • Familiarity with the Investment Advisers Act of 1940 and key regulations impacting private equity and investment management.
  • Demonstrated ability to work effectively with C-suite executives, as well as with external compliance professionals, ensuring alignment on compliance initiatives and timely resolution of compliance matters.
  • Exceptional written and verbal communication skills, strong attention to detail, and a proactive approach to organization and problem-solving.
  • Ability to work onsite in San Diego California.

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