Our client, an established global alternative investments, private equity firm, is seeking to
onboard a Compliance Manager that will work closely with the CCO and other high-level
executives. The firm currently has nearly $30 billion AUM.

▪ Must fulfill the following functions in the firm’s global compliance program, including:
o Prepare Annual Compliance Report
o Oversee the firm’s expense allotment process
o Manage regulatory filings
o Oversee the firm’s conflicts process relating to affiliated investments, wall crosses,
and conflicts committee
o Help organize the annual training and training targets
o Conduct cross trade review
o Draft and maintain policies and procedures
o Oversee the firm’s information barriers
o Engage in investor due diligence meetings

Qualifications & Experience
▪ 5+ years of in-house asset management compliance experience
▪ J.D. or MBA preferred
▪ Strong background in Credit
▪ Prior experience with relevant regulations—Advisers Act, MiFID II and AIFMD
▪ Strong knowledge of UK, EU and US regulatory compliance concepts and practices
▪ The keen ability to assess regulatory risks relating to business decisions
If you are interested in this role, please email CV to Jack Kelly at jack@compliancesearch.com.

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