What are the responsibilities and job description for the Private Equity Compliance Officer position at JCW Group?
Role and Responsibilities
- Assisting in registering clients as investment advisers with the SEC
- Preparing policies and procedures, reports, memoranda and other client deliverables
- Supporting senior consultants with client engagements, including tracking and monitoring, ongoing obligations and preparing for meetings and reviews
- Assisting with annual compliance reviews, mock audits and SEC examinations
- Conducting compliance testing, including electronic communications reviews
- Assisting in the preparation of regulatory filings, including Form ADV, Form PF, Form 13H and Form 13F
- Reviewing marketing materials
- Assisting with the onboarding and monitoring of compliance software platforms for clients
- Participating in client meetings and reviews
- Assisting in conducting compliance training sessions for clients’ employees
- Researching compliance issues
Skills & Experience
