Head of Compliance (US)
Conselium Compliance SearchBoston, MA, United States14 days ago
Job type
- Full-time
Job descriptionThis 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 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 desirable You will have experience with SEC exams and mock audits You must be open to periodic travel both in the US and internationally It is essential that you currently be in (or open to relocating to) either San Francisco, CA or Boston, MA
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
Requirements
Location
Seniority level
Executive
Employment type
Full-time
Job function
Legal and Other
Industries
Investment Management and Financial Services
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Head Of Compliance • Boston, MA, United States
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