Head of Compliance (US)

Direct message the job poster from Conselium Compliance Search

Partner and Compliance Recruiter at Conselium Compliance Search

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 :

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

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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