Chief Compliance Officer - Part Time


: $178,775.00 - $178,775.00 /year *

Employment Type

: Full-Time


: Executive Management

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IF YOU ARE LOOKING FOR FULL-TIME, DO NOT APPLY Chief Compliance Officer ? Part Time (New York, NY) : Our client, a growing private equity firm, is eager to bring on an experienced compliance professional to join their lean team in a part time/work from home capacity . Very stable platform with sticky money and long term investments Collaborative and diverse environment Opportunity to own all areas of compliance while still maintaining excellent work/life balance Responsibilities: Maintain and handle regulatory issues that arise with regulators and maintaining US specific regulatory filings (Form PF, ADV, 1 & 2); review marketing materials for compliance Conduct annual compliance reviews; utilize an email archiving service to review email correspondence as it relates to compliance Manage reporting and compliance review of investment allocations, expenses, valuation political contributions, outside business activities, gifts and entertainment, personal trading and conflicts of interest by utilizing SchwabCT; review cost allocations among affiliated entities in reference to SEC concerns Conduct mock SEC exams; manage other ad-hoc compliance duties as necessary Qualifications: 7-12 years of relevant compliance experience within the asset management space; bachelors degree required Experience preparing and submitting primary U.S. regulatory filings; proactive, approachable with the ability to operate effectively with little supervision Must be comfortable working in a fast-pace environment with strong attention to detail; excellent communication skills with the ability work with the team in a constructive manner Strong regulatory researching skills; prior experience assisting registered investment advisers with SEC examinations or mock examinations is not required but is a plus Job Reference 1459
Associated topics: endowment, festival, government, lead generation, market, marketplace, mba, policies, principle gift, solicitation * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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