Compliance Director

2 months ago


New York, New York, United States Compliance Recruitment Solutions Full time
Job Description

Compliance Director - Private Funds Expert

We are seeking an experienced Compliance Director to join our team at Compliance Recruitment Solutions. As a Compliance Director, you will be responsible for providing strategic compliance advice and solutions to our clients in the private funds industry.

Key Responsibilities:

  • Act as lead compliance resource for retained client relationships, providing ongoing strategic compliance advice and resolutions to complex questions involving multiple regulators.
  • Provide client deliverables in a timely manner, including quarterly monitoring reviews and reports.
  • Set up the compliance infrastructure for clients, including policies and procedures and monitoring programs.
  • Register firms with the SEC and CFTC/NFA.
  • Draft and review annual and quarterly filings, including Form ADV, Form PF, CPO-PQR, and CTA-PR.
  • Lead SEC mock audits and annual compliance reviews.
  • Assist with annual compliance reviews and regulatory mock audits.
  • Perform forensic testing - electronic communications, trading, social media, etc.
  • Assist with development and maintenance of technical resources and wider firm initiatives.
  • Develop training content and train junior staff.

Requirements:

  • At least 8 years' US Compliance experience from a similar compliance consultancy, Big 4/Law firm, or in-house compliance team, including experience in the private fund space (hedge, private equity, or real estate, etc.).
  • Working knowledge of the Investment Advisers Act of 1940 and regulation relevant to investment advisers, as well as knowledge of the NFA rules and CFTC regulations relevant to investment managers.

About the Role:

This is a fantastic opportunity to join a leading compliance consultancy that has grown extensively and organically over the past two decades and continues to add top compliance talent to their ranks.

We are looking for a highly skilled and experienced Compliance Director to join our team. If you have a passion for compliance and a strong background in the private funds industry, we encourage you to apply.


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