Head of Compliance

2 months ago


Hoboken, United States Coda Search│Staffing Full time

Company Description:

Our client is a well respected Investment Manager in Hoboken, right off the PATH train. This firm has had a successful deployment of their most recent fundraise and is growing quickly. Because of this they are growing in many areas of the business and are looking to enhance their legal/compliance function and register with the SEC. The company has a great entrepreneurial tech-firm like culture, and boasts a strong work/life balance (including unlimited PTO)


Job Description:

This position will work in tandem with the firm's General Counsel to enhance a well-run compliance division. This role will be responsible for developing and implementing the firm's compliance program in alignment with the SEC Advisory Act rules and practices. This role is hands-on and requires someone adept at identifying organization needs, gaps, and the ability to manage and enact change.


Responsibilities:

  • Establish and enforce the firm's compliance program in accordance with SEC Advisory Act rules and regulations
  • Oversee the company's existing compliance program and policies to align with regulatory requirements
  • Conduct mock audits to prepare for SEC registration
  • Implement and manage the monitoring systems for communication, personal trading, investor materials, and any other compliance matters
  • Primary point of contact with various regulatory bodies, including the SEC
  • Work closely with senior leadership to work risk management into the business strategy
  • Provide support and guidance to other departments on compliance related issues


Qualifications:

  • Bachelors degree in Law, Business, or Finance
  • Advanced degree, such as MBA or JD, preferred
  • 5-10 years of experience in compliance within financial services (PE or RE preferred)
  • Expertise in SEC regulations and the Investment Advisers Act of 1940
  • Experience in developing and implementing firm-wide compliance programs

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