Chief Compliance Officer, Private Equity
Chief Compliance Officer, Private Equity
Atlantic Group
New York City Metropolitan Area
See who Atlantic Group has hired for this role
Our client, A $100bn + Asset Management firm is looking to hire a Chief Compliance Officer.
Responsibilities:
- Provide compliance support and oversight of the firm’s investment advisory businesses including credit and separately managed accounts
- Assist in implementing the firm’s policies and procedures across the various business lines
- Assist in monitoring and testing the firm’s credit compliance program
- Prepare quarterly and annual compliance reports for senior management, the Risk & Compliance Committee and the newly established BDC board of directors
- Prepare federal and state regulatory filings and other related compliance documentation, and partner with managing regulatory exams and inquiries
- Review and approve credit marketing materials
- Review certain corporate and loan transaction documents
- Partner with Investment, legal, Finance and IT teams to ensure compliance efforts are integrated
- Participate in all Risk & Compliance Committee meetings
- Other duties as assigned
Requirements:
- 10+ years of relevant experience out of a Bank or an Asset Management Firm
- Series 7/24 a plus
Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.
ID 36905
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Seniority level
Executive -
Employment type
Full-time -
Job function
Accounting/Auditing and Finance -
Industries
IT Services and IT Consulting, Software Development, and Financial Services
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See who you knowFeatured Benefits
Inferred from the description for this job
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Medical insurance -
Dental insurance -
Vision insurance -
401(k) -
Child care support -
Pension plan -
Paid maternity leave -
Paid paternity leave -
Commuter benefits -
Student loan assistance -
Tuition assistance -
Disability insurance
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