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.
