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A fast growing Private Equity firm seeks a Chief Compliance Officer (CCO) to help them as they accelerate to the next level.
This position is responsible for the Firm's compliance function and the development and oversight of the SEC compliance program. The CCO must possess the ability to communicate effectively, foster teamwork, prioritize tasks, demonstrate strong problem solving skills, and have great attention to detail. The services and actions of the CCO will always show the professionalism, care and managerial insight to enable portfolio companies to achieve a new level of growth and profitability.
What you will do:
Ensure Firm's activities comply with relevant legal and regulatory requirements, maintaining a strong knowledge of regulation and industry best practices. Maintain a compliance manual of policies and procedures, internal controls, and supervisory procedures, continually assessing whether the firm's policies and procedures are adequate and commensurate with the changing nature of the Firm's operations. Manage business risks through the development, planning and execution of the Compliance Program, having direct interaction with the executive team and investment professionals. Conduct a risk-gap analysis of the Firm's compliance exposures, assigning a risk level to areas identified as a conflict and identify key controls to mitigate those conflicts. Monitor an interactive annual review schedule with an independent compliance consultant. Ensure regulatory filing activities are compliant with applicable laws/statutes, reviewing Firm's Fund activity to detect potential compliance issues and execute corrective action as needed. Prepare and file regulatory reports with the SEC, FINRA and state authorities, and maintain renewals for federal and state registrations. Serve as a resource for staff regarding compliance issues and provide compliance training. SEC point person for regulatory examinations, inquiries and other data requests. Prepare and present a "Compliance Program Annual Assessment Report" to the Executive Committee, providing a regulatory update and results of the Compliance Program testing and recommended improvements. Additional responsibilities as assigned.
Required Education and Experience
Bachelor's Degree and a JD degree is preferred. Minimum of 10 to15 plus year's compliance experience from another investment adviser, compliance consulting firm, law firm, asset management arm of a bank, or regulatory body. Knowledge and experience with private equity and/or hedge funds. Full understanding of the requirements of the Investment Advisers Act of 1940, the related rules, and other aspects of the regulatory regime for SEC-investment advisers; and knowledge of federal and state securities laws and regulations. Strong sense of autonomy and work effectively both independently and in teams. Impeccable integrity, ethics and values that are evidenced in all relationships and demonstrated through sound judgment, and a commitment to and focus on meeting client objectives. Strong communication skills both oral and written. Detail oriented. Strong organizational skills. Critical thinker.
Please email resumes to Jack Kelly at Jack@ComplianceSearch.com