Head of Compliance

18 hours ago

San Francisco, California, United States Conselium Compliance Search Full time $150,000 - $250,000 per year

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 world's 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 firm's 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:

  • Essential Education: Bachelor's degree
  • Desirable Education: JD
  • 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 in (or open to relocating to) either San Francisco CA or Boston MA

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