Compliance Manager (Pathway to CCO)

A middle market private equity buyout firm with $1.6B commitments raised to date and currently raising a fourth fund. A Registered Investment Adviser (RIA) seeking an experienced compliance professional to manage its compliance function. This is a high growth position as they expand its fund offerings.

Role and responsibilities

• Support CCO: Assist the Chief Compliance Officer with day-to-day compliance functions, ensuring adherence to policies, reporting deadlines, and ongoing regulatory updates.
• Regulatory Monitoring & Reporting: Ensure the firm is in compliance with regulations (e.g., SEC, AML, Privacy Regulations, FINRA) and internal policies.
• Documentation & Recordkeeping: Maintain up-to-date compliance records, regulatory filings, and necessary documentation (e.g., Form ADV, compliance reports) and maintain ComplySci system.
• Employee Compliance: Ensure staff compliance on all regulatory matters and company policies, including ethical standards, securities reporting and attestations through ComplySci.
• Internal Compliance Reviews: Assist with periodic internal compliance audits, risk assessments, and monitoring of investment activities to ensure adherence to fund policies.
• Employee Onboarding & Offboarding: Oversee the onboarding process for new hires, following compliance procedures and firm requirements. Manage offboarding process. Assist CFO with employee term sheets, employment and separation agreements.
• Employee Records & Reporting: Maintain up-to-date employee files and records in compliance with company policies and legal requirements.
• Payroll and Benefits Administration: Coordinate with external PEO service provider to ensure timely and accurate payroll processing and maintenance of employee benefits program, including health insurance, retirement plans, and other perks.

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