Cardea Group
Our client, a private equity fund with successful fundraises and increased AUM over the past decade, has a need for a strong, insightful Compliance Manager to join their team in a #3 capacity. The Compliance Director will work closely with the Deputy CCO and CCO to oversee the day to day compliance program. This is an exceptional opportunity for a strategic thinking compliance professional who would like to segway their career into a pivotal role collaborating with leadership on compliance initiatives and driving the compliance program to be best in class.
Key Points:
Hiring manager is excited to onboard someone who is driven, strong at project management, and has a command of compliance programs Firm has a long track record and manages north of $40B in assets and a 20+ year history with a tremendous reputation in the industry High visibility generalist role working under two tremendous mentors in the compliance department Collaborative group of individuals across the organization where growth is promoted from within Responsibilities:
Prepare regulatory filings, administer the firms compliance program, and oversee Code of Ethics Collaborate with the marketing and investor inquiries teams to respond to RFPs, DDQs and other communications Drive compliance initiatives across various areas of the program depending on regulatory trends Conduct compliance testing and update policies/procedures Create risk matrices to outline compliance initiatives Monitor the investment/researchs team use of expert networks Partner with compliance consultants to conduct mock audits and heed advice on regulatory updates Qualifications:
8-12+ years of experience in an investment advisor (private equity, private credit, hedge fund, etc.) Bachelors Degree Strong command of full suite of compliance responsibilities with the ability to drive and lead projects Excellent judgment and ability to communicate with all levels of professionals Proactive, driven and mentality of excellence Compensation Expectations:
$225-250K base; $350-500K+ all-in #J-18808-Ljbffr
Hiring manager is excited to onboard someone who is driven, strong at project management, and has a command of compliance programs Firm has a long track record and manages north of $40B in assets and a 20+ year history with a tremendous reputation in the industry High visibility generalist role working under two tremendous mentors in the compliance department Collaborative group of individuals across the organization where growth is promoted from within Responsibilities:
Prepare regulatory filings, administer the firms compliance program, and oversee Code of Ethics Collaborate with the marketing and investor inquiries teams to respond to RFPs, DDQs and other communications Drive compliance initiatives across various areas of the program depending on regulatory trends Conduct compliance testing and update policies/procedures Create risk matrices to outline compliance initiatives Monitor the investment/researchs team use of expert networks Partner with compliance consultants to conduct mock audits and heed advice on regulatory updates Qualifications:
8-12+ years of experience in an investment advisor (private equity, private credit, hedge fund, etc.) Bachelors Degree Strong command of full suite of compliance responsibilities with the ability to drive and lead projects Excellent judgment and ability to communicate with all levels of professionals Proactive, driven and mentality of excellence Compensation Expectations:
$225-250K base; $350-500K+ all-in #J-18808-Ljbffr