What are the responsibilities and job description for the Director of Compliance position at Mission Staffing?
Our client, a global investment management firm based in New York, NY, is seeking a senior compliance professional to support the firm’s private equity and opportunistic funds businesses. The individual will provide broad support for the compliance program, team members, and investment portfolio consistent with applicable law and regulation (with particular focus on the U.S., U.K. and European Union)
This includes preparing regulatory reports and filings (e.g., Forms ADV, Form PF, Reg D, AIFMD and Annex IV, 13H, 13F) and to perform annual 206(4)-7 compliance review as well as maintain compliance and regulatory policies, procedures and controls considering the specific needs of the businesses, firm-wide policies and evolving legal and regulatory requirements.
Qualifications
- 7 years of experience in the compliance and/or regulatory field within (a) financial services (preferably at registered investment adviser, focusing on private equity), (b) regulatory agency, (c) a major law firm specialized in investment advisor regulation, fund formation, and/or corporate law, or (d) an accounting / consulting firm if focused on investment advisory industry
- Familiarity with SEC, CFTC, and European private placement registration processes; and federal, state and international securities law and regulation (including the Investment Advisers Act of 1940, ERISA, the Alternative Investment Fund Managers Directive, and the EU Market Abuse Regulation (and similar anti-insider trading regimes))
- Knowledge of private fund operating documents including (LPAs, PPMs, and subscription agreements); private fund key service provider agreements; and investor eligibility requirements
Salary : $70 - $75
