Head of Compliance/Deputy CCO
4 weeks ago
SEC registered investment adviser searching for an experienced Senior Compliance Officer. Position will work with/report to the CCO as part of a three person team.
• Partner with investment professionals at all levels and attend investment related meetings to provide regulatory guidance.
o This includes guidance related to the firm’s policies of allocation of investment opportunities, use of expert networks, wall cross and restricted list management, valuation processes, best execution reviews, ESG practices, and LPA and side letter agreement compliance.
• Proactively support the firm in analyzing and implementing the SEC’s Private Fund Rule requirements and help to develop best practices for compliance.
• Assist in the review of disclosures for marketing and advertising materials for institutional investors to ensure compliance with relevant laws and regulations.
• Assist in developing and maintaining policies and procedures related to regulatory requirements, including taking the lead on drafting and preparing certain compliance policies.
• Analyze and provide guidance related to conflicts of interest arising from activities by the firm, its funds, or its employees.
• Support and contribute to efforts in the event of SEC regulatory examinations or investigations.
Qualifications:
• Bachelor's Degree required; law or other advanced degree preferred.
• 6 - 10+ years of relevant experience in a compliance role with a registered private equity or venture capital fund manager and working knowledge of the Investment Advisers Act of 1940 and other regulatory requirements applicable to private fund managers.
• General understanding of private fund legal agreements, common structures and private market investment terms and products.
• Excellent oral and written communication skills; ability to explain complex regulatory issues.
• Strong attention to detail with the ability to manage multiple priorities and track extensive details on multiple projects simultaneously.
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