Head of Compliance

Head of Compliance

About the Company

Accomplished asset management company

Industry

Financial Services

Type

Privately Held

About the Role

The Company is seeking a Head of Compliance for the US, who will be a key figure in the global compliance framework, with a focus on leading and managing the firm's SEC compliance program. The successful candidate will be responsible for policy oversight and implementation, overseeing the annual compliance review, and ensuring the remediation of any identified issues. This role also involves serving as the primary US compliance contact, managing regulatory interactions with the SEC, and maintaining the compliance calendar. The Head of Compliance will be expected to provide training on the Advisers Act Code of Ethics, manage relationships with outside counsel and compliance vendors, and support firmwide compliance initiatives and training. Applicants for the Head of Compliance position at the company should have a Bachelor's degree, with a JD being desirable. Deep expertise in the Investment Advisers Act of 1940 for a Registered Investment Advisor is essential, and experience in private equity or hedge funds is also a plus. The role requires a candidate with experience in SEC exams and mock audits, and the ability to travel periodically, both within the US and internationally. The ideal candidate will be a proactive, team-oriented professional with a consensus-driven approach, and will be expected to work closely with global team members to ensure the company's compliance standards are met.

Hiring Manager Title

Global Head of Risk and Compliance

Travel Percent

Less than 10%

Functions

• Finance