Private Equity Firm
On-site - Boca Raton, FL (M-TH office, Friday remote)
$100k-$150K, plus a possible bonus of $20k-$30K
Reports directly to the Firm’s Global CCO
Responsibilities
- Ownership of Code of Ethics monitoring, including quarterly and annual employee certifications, review of brokerage statements and approval of employee personal trading
- Coordinate with Legal & Compliance team and senior management to develop and enhance regulatory compliance and reduce risk
- Assist with drafting, reviewing, and updating policies and procedures for the U.S. compliance program and enhance the overall controls environment
- Assess current and emerging U.S. regulatory developments and design controls to respond to these regulatory changes, as required
- Contribute to the Firm’s annual 206(4)-7 report, and other regulatory filings such as Form ADV, Form PF, AIFMD, as required
- Develop and support any new corporate governance and compliance initiatives that further enhance the U.S. compliance program and controls environment
- Assist with creating periodic firmwide compliance training modules and onboarding new personnel
Requirements
- Bachelor’s degree from an accredited institution; JD is preferred but not required
- 5 years of relevant experience serving as a compliance officer in Private Equity, Asset Management, Investment banking, hedge fund or related
- Prior private equity or private fund experience is preferred
- Compliance software experience
- Knowledge of relevant rules and regulations applicable to private equity advisors (Investment Advisers Act of 1940).
- Experience with employee Code of Ethics compliance systems (e.g., Schwab Compliance, MCO, etc.) is highly desirable.
- Excellent administrative, organizational and project management skills.
- Excellent communication skills, both written and verbal.
- Good judgment and high ethics with the ability to spot issues and know when to escalate matters to the CCO and General Counsel.
- Excellent analytical and problem-solving skills to identify and avoid obstacles.
- Flexibility to adjust priorities to meet changing timeframes/requests.
- Excellent interpersonal skills including the ability to work well in a team environment.
- Familiarity with Anti-Money Laundering, Sanctions and Anti-Bribery controls
- Proficient in Microsoft Office suite
Salary $100k-$150K, plus a possible bonus of $20k-$30K.
On-site - Boca Raton, FL (M-TH office, Friday remote)
Any 2 weeks in the summer remote from anywhere
Plus excellent benefits, 3 -weeks’ Vacation, paid holidays and more. Relocation assistance for the right candidate.
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