Compliance Manager
1 month ago
Very well-established global investment mangement firm based in the DC area, is seeking a Senior Compliance Professional to work collaboratively with the Chief Compliance Officer and other members of the Legal and Compliance team.
Position Responsibilities:
• Effectively managing and executing the day-to-day activities in connection with the compliance program established for the firm's private equity strategies and the management of firmwide conflicts of interest.
• Assisting in the management of the Code of Ethics program, including the preparation of quarterly metrics;
• Creating and maintaining a comprehensive risk monitoring and testing program
• Leading and conducting quarterly compliance testing and drafting the annual Rule 206(4)-7 compliance review;
• Interpreting and advising on the implementation of applicable U.S. and foreign regulations;
• Advising on the interpretation and management of material non-public information, keeping related records;
Required Qualifications:
• Undergraduate degree
• 7-12 years of relevant compliance experience at an investment management firm or prior regulatory advisory consulting experience;
• Demonstrated knowledge of compliance and regulatory issues relevant to an SEC registered investment adviser to private equity funds;
• Knowledge of the Investment Advisers Act of 1940 and other relevant regulations;
• Strong attention to detail, and excellent verbal and written communication skills
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