Head of Compliance

3 weeks ago

Boston MA, United States Conselium Compliance Search Full time

Partner and Compliance Recruiter at Conselium Compliance Search We are representing a large global Asset Management company in their search for a Head of Compliance US, to be based in either San Francisco, CA or Boston, MA. Why Join Us Opportunity to join a large global investment business, with consistent growth and stability and recipient of multiple Best Places to Work awards Be part of a growing global compliance framework, taking the lead on US compliance and working closely with team members in other global locations Positive, team-oriented, and consensus-driven culture One of the worlds largest Asset Managers in its field Responsibilities This role reports to the Global Head of Risk and Compliance and serves as the primary US compliance contact and a key liaison with the global compliance team Lead and manage the firms SEC compliance program, including policy oversight and implementation Oversee the annual compliance review and ensure remediation of identified issues Serve as point of contact with SEC exam staff and manage regulatory interactions Maintain the compliance calendar and lead related projects Provide training on the Advisers Act Code of Ethics (Rule 204A-1) Manage relationships with outside counsel and compliance vendors Support firmwide compliance initiatives and training Assist with SEC filings and provide legal support for US investment activities Requirements The ideal candidate will bring deep expertise in the Investment Advisers Act of 1940 for a Registered Investment Advisor experience in private equity or hedge funds is desirable You will have experience with SEC exams and mock audits You must be open to periodic travel both in the US and internationally Location It is essential that you currently be in (or open to relocating to) either San Francisco, CA or Boston, MA Seniority level Executive Employment type Full-time Job function Legal and Other Industries Investment Management and Financial Services #J-18808-Ljbffr

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