CarterPierce, INC.
Compliance Manager/Director - Private Equity Firm
CarterPierce, INC., Los Angeles, California, United States, 90079
Overview
A rapidly growing private equity firm is seeking a
SEC Compliance Manager/Director
(title dependent on experience) to join their team. This professional will play a lead role in supporting the firm’s SEC Compliance function. This role reports to the CFO/Chief Compliance Officer. This is a great opportunity to further grow and enhance the firm’s SEC Compliance function, with the potential to eventually step into the Chief Compliance Officer role. Responsibilities
Work with the Chief Compliance Officer, external compliance consulting firm, and external legal counsel on all aspects of managing the SEC Compliance program. Monitor and ensure ongoing compliance with SEC regulations, including the Investment Advisers Act of 1940, Form ADV, Form PF, and Form D filings. Manage periodic risk assessments and compliance testing programs. Oversee the administration and documentation of the firm’s Code of Ethics, including personal trading, outside business activities (OBAs), and gifts and entertainment logs. Lead or assist in delivering firm-wide compliance training on SEC regulations, firm policies, and ethics. Manage the firm’s compliance calendar to ensure timely filings and certifications. Assist in the development, implementation, and review of the firm’s compliance policies and procedures, including those related to conflicts of interest, valuation, MNPI, marketing, and cybersecurity. Review marketing materials, pitch books, and investor communications for regulatory compliance. Ensure consistency of disclosures across offering documents and investor reports. Hire, develop, and manage current and future staff. Other ad hoc projects as required. Qualifications
~5-10 years of experience in a SEC compliance role with a registered investment adviser and/or with a SEC compliance consulting firm. Extreme attention to detail. Strong proficiency in Microsoft Word, Excel, Outlook, and PowerPoint. Ability to take initiative and work independently. Strong project management skills, including ability to multi-task and drive multiple end-to-end projects simultaneously. Excellent written and oral communication skills. Ability to consistently display a professional and courteous manner with all stakeholders (investors, co-workers, management, portfolio companies, third-party service providers, etc.). Seniority and Employment Details
Seniority level: Director Employment type: Full-time Job function: Legal Industries: Venture Capital and Private Equity Principals Location
Los Angeles, CA
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A rapidly growing private equity firm is seeking a
SEC Compliance Manager/Director
(title dependent on experience) to join their team. This professional will play a lead role in supporting the firm’s SEC Compliance function. This role reports to the CFO/Chief Compliance Officer. This is a great opportunity to further grow and enhance the firm’s SEC Compliance function, with the potential to eventually step into the Chief Compliance Officer role. Responsibilities
Work with the Chief Compliance Officer, external compliance consulting firm, and external legal counsel on all aspects of managing the SEC Compliance program. Monitor and ensure ongoing compliance with SEC regulations, including the Investment Advisers Act of 1940, Form ADV, Form PF, and Form D filings. Manage periodic risk assessments and compliance testing programs. Oversee the administration and documentation of the firm’s Code of Ethics, including personal trading, outside business activities (OBAs), and gifts and entertainment logs. Lead or assist in delivering firm-wide compliance training on SEC regulations, firm policies, and ethics. Manage the firm’s compliance calendar to ensure timely filings and certifications. Assist in the development, implementation, and review of the firm’s compliance policies and procedures, including those related to conflicts of interest, valuation, MNPI, marketing, and cybersecurity. Review marketing materials, pitch books, and investor communications for regulatory compliance. Ensure consistency of disclosures across offering documents and investor reports. Hire, develop, and manage current and future staff. Other ad hoc projects as required. Qualifications
~5-10 years of experience in a SEC compliance role with a registered investment adviser and/or with a SEC compliance consulting firm. Extreme attention to detail. Strong proficiency in Microsoft Word, Excel, Outlook, and PowerPoint. Ability to take initiative and work independently. Strong project management skills, including ability to multi-task and drive multiple end-to-end projects simultaneously. Excellent written and oral communication skills. Ability to consistently display a professional and courteous manner with all stakeholders (investors, co-workers, management, portfolio companies, third-party service providers, etc.). Seniority and Employment Details
Seniority level: Director Employment type: Full-time Job function: Legal Industries: Venture Capital and Private Equity Principals Location
Los Angeles, CA
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