Overview

An international alternative investments and private equity firm seeks a Compliance Manager. The high-end firm has a long track record of success. 

Here is what you will be involved with:

  • Daily oversight of Compliance-related matters
  • Preparation of the Firm’s Annual Compliance Report
  • Overseeing the Form ADV and quarterly Form PF filings
  • Management of the Firm’s conflicts process relating to affiliated investments, wall crosses, and conflicts committee 
  • Assist with organizing the annual training, and targeted trainings, as required
  • Conduct cross-trade review
  • Update and draft policies and procedures
  • Assist with the management of the Firm’s information barriers
  • Participate in Investor due diligence meetings
  • Supporting and fostering a culture of compliance

Background the company would like to see in a candidate:

  • 5-10 years of in-house asset management compliance experience
  • J.D. or MBA preferred
  • Strong background in Credit a must
  • Previous experience with relevant regulations—Advisers Act, MiFID II and AIFMD
  • Demonstrable knowledge of UK, EU, and US regulatory compliance concepts and practices
  • Understand risk management and demonstrate the ability to recognize regulatory risks relating to business decisions

 If you are interested in this role, please email resumes to Jack Kelly at Jack@ComplianceSearch.com.

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