Head of Compliance

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Managing Director, Executive Recruiter - Focused on the alternative asset management space across Investor Relations, Human Resources, and…

Head of Compliance (New York) : Our client, a successful venture capital firm, is seeking a Head of Compliance. The role will require working collaboratively with other members of the team to find effective solutions that meet both business needs and regulatory requirements, and ultimately will track to become CCO.

Key Points:

• Firm is actively growing and investing in a variety of global sectors with north of $3B in capital raised
• Opportunity to own and run compliance, ultimately taking on the role as CCO and continuing to build the department
• Positive culture of compliance and ‘buy in’ from the investment team and senior management
• Firm encourages a fun environment with collaboration across departments, summer and winter outings, happy hours, etc.

Responsibilities:

• Draft, implement and maintain all policies and procedures
• Review marketing materials and client reporting materials for compliance with applicable regulations
• Stay apprised of applicable changes to the regulatory framework and enforcement focuses of the regulatory agencies
• Assist in the drafting and review of regulatory filings such as the Form ADV and Form PF
• Prepare for and assist with examinations and investigations conducted by regulators or other external parties
• Oversee political contributions, personal trades and investments in private placements
• Conduct MNPI analysis for public trades

Qualifications:

• 7- 12+ years of relevant experience ideally in the Private Equity or Venture Capital space
• Strong understanding of the Investment Advisers Act of 1940, Securities Act of 1933, and other applicable laws and regulations
• Ability to prioritize projects and acute organizational skills, with the aptitude to multi-task and work in a fast-paced environment
• Comfort interacting with investment professionals, regulators, and limited partners

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance, General Business, and Legal

• Industries

  Venture Capital and Private Equity Principals and Investment Management

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