Company Description :
Our client is a well respected Investment Manager in Hoboken, right off the PATH train. This firm has had a successful deployment of their most recent fundraise and is growing quickly.
Because of this they are growing in many areas of the business and are looking to enhance their legal / compliance function and register with the SEC.
The company has a great entrepreneurial tech-firm like culture, and boasts a strong work / life balance (including unlimited PTO)
Job Description :
This position will work in tandem with the firm's General Counsel to enhance a well-run compliance division. This role will be responsible for developing and implementing the firm's compliance program in alignment with the SEC Advisory Act rules and practices.
This role is hands-on and requires someone adept at identifying organization needs, gaps, and the ability to manage and enact change.
Responsibilities :
- Establish and enforce the firm's compliance program in accordance with SEC Advisory Act rules and regulations
- Oversee the company's existing compliance program and policies to align with regulatory requirements
- Conduct mock audits to prepare for SEC registration
- Implement and manage the monitoring systems for communication, personal trading, investor materials, and any other compliance matters
- Primary point of contact with various regulatory bodies, including the SEC
- Work closely with senior leadership to work risk management into the business strategy
- Provide support and guidance to other departments on compliance related issues
Qualifications :
- Bachelors degree in Law, Business, or Finance
- Advanced degree, such as MBA or JD, preferred
- 5-10 years of experience in compliance within financial services (PE or RE preferred)
- Expertise in SEC regulations and the Investment Advisers Act of 1940
- Experience in developing and implementing firm-wide compliance programs
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