Conselium Compliance Search
Head of Compliance (US)
Conselium Compliance Search, San Francisco, California, United States
Direct message the job poster from Conselium Compliance Search
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:
This 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
Requirements:
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
You will have experience with SEC exams and mock audits
You must be open to periodic travel both in the US and internationally
Location:
It is essential that you currently in (or open to relocating to) either San Francisco CA or Boston MA
#J-18808-Ljbffr
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:
This 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
Requirements:
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
You will have experience with SEC exams and mock audits
You must be open to periodic travel both in the US and internationally
Location:
It is essential that you currently in (or open to relocating to) either San Francisco CA or Boston MA
#J-18808-Ljbffr