Compliance Officer
Compliance Officer (New York, NY) : The chance to join a thriving private equity fund in a #2 capacity is here. If you are an ambitious, intelligent, and curious compliance professional seeking the mentorship of an exceptionally bright, talented, and KIND GC & CCO, please read on.
Our client, a private equity firm with tremendous prospects and growth trajectory, has created a Compliance Officer position to sit in the #2 seat and offering someone the chance to engage in various areas such as compliance, governance, marketing, ESG, and deal-related affairs.
Key Points :
- Fantastic opportunity to receive guidance and collaborate an exceptional team in a thriving organization
- Organization has extremely stable capital and is growing in assets under management
- Broad compliance generalist role with potential to take on new projects and tasks over time
Responsibilities :
- Oversee monthly compliance testing
- Conduct annual compliance reviews in both the US and UK, and any mock audits
- Update the compliance manuals and code of ethics for both the US and UK annually, and continuously as enforcement actions and regulatory matters evolve
- Review marketing materials and investor diligence requests
- Collaborate with CCO and other departments on various SEC, FCA, Cayman, and other regulatory filings
Qualifications :
- Bachelor’s degree; JD not required but advantageous
- 3-6 years of compliance experience at an SEC-registered investment adviser or compliance consulting firm, and private equity exposure preferred
- Strong understanding of the SEC regulatory framework and SEC cyber and disaster recovery best practices as well as various data privacy regulations
- Desire to work in a dynamic team environment that promotes collaboration
Compensation Expectations : $120-175K base; $150-225K all-in
Job Reference #1934
Compliance Officer - Risk Assessment
Our client, a leading investment bank based in New York City, is seeking a dynamic and experienced professional to join their team as a Compliance Risk Assessment Manager. The successful candidate will play a crucial role in ensuring compliance with industry regulations and managing risk within the ...
Investigations and Compliance Officer
The Investigation and Compliance Unit, to which this position belongs, updates and provides guidance to agency EEO Officers on investigative and reasonable accommodation processes, develops and presents legally mandated non-discrimination training curricula, conducts very time-sensitive high level d...
Compliance Officer
Summary: This position is responsible for the administration of Human Resources policies, procedures, and programs including Compliance, Training & Development, and Employee Relations. Ensure compliance with all relevant labor laws, regulations, and standards. Ensure that all documents and policies ...
Compliance Risk Assessment Officer
Key Responsibilities:General· Participate to the design / update of the Compliance Risk Assessment (CRA) methodology· Prepare and run the annual CRA exercise as per the Firm's policies and procedures and tools· Manage data collection and data quality controls for input data t...
VP, Compliance Monitoring & Testing Officer
International bank located in Midtown Manhattan looking to bring on a new “VP, Compliance Monitoring & Testing Officer” to join their team. Lead and /or perform compliance testing of consumer and bank compliance controls, identify issues and make recommendations and report results. Banking regulatio...
Chief Compliance Officer, Invest
Reporting into the Enterprise Chief Compliance Officer, this is a leadership role within SoFi’s Compliance organization. Broker dealer and RIA, Aadvise the Compliance and Legal teams on emerging compliance issues, regulatory changes, and new rules, and consult and guide the company in the esta...
Bank Trust Compliance Officer, New York
Professional certification is highly preferred, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance - Professional (CRCP) would be an asset. The Compliance Officer will oversee Emigrant’s compliance function, as wel...
SVP, Compliance Product Senior Officer - Issuer Services Lead (Hybrid) - NY
Serves as a senior function/business/product compliance risk officer for Securities Services Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and ...
VP, CUSO Compliance Risk Assessment Officer
The Compliance Department at Credit Agricoles Combined US Operations (CUSO) seeks an individual to join the department and report to the CUSO Head of Compliance Risk Assessment, being responsible for coordinating the Compliance Risk Assessments (CRA) across all business lines on behalf of the region...
Compliance Officer
Provide advisory services to staff and management and to the Regional Coveringpliance Managers (RCCM) and, at times, the Chiefpliance Officer (North America) on significantpliance matters and issues;. ...