What are the responsibilities and job description for the Chief Compliance Officer - Private Credit position at JW Michaels & Co.?
Our client, a leading alternative investment fund based in the NYC area, is seeking a Chief Compliance Officer with a regulatory background in the alternative asset management space (ideally in Private Credit or Private Equity).
Some possible responsibilities would include:
- Regulatory filings such as ADV, Form D, 13F/G/H, Form PF, etc.
- Annual mock SEC exams
- Annual Reviews/Compliance Trainings
- Compliance Manual and other related policies
- Expert network/MNPI
- Marketing Review
- Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934
- Trade Surveillance
