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Chief Compliance Officer And Associate General Counsel-alternatives
Refer job# RHMZ138927
 
Chief Compliance Officer and Associate General Counsel-Alternatives The candidate will be covering multiple private equity strategies (fund-of-funds, primaries, secondaries, co-invest, minority stakes in asset managers, healthcare, credit, private debt, European direct investing and brand-licensing), a multi-manager hedge fund business and specialty finance business. Will be managing all aspects of compliance program, including: annual 206(4)-7 compliance review. Maintaining compliance manual and associated policies and procedures; reviewing of marketing materials, RFPs, whitepapers, interviews and press releases; preparing client correspondence. ompleting client and regulatory certifications; interacting with regulators, including SEC and NFA. Overseeing preparation of regulatory reports and filings including Forms ADV, PF and AIFMD. Managing information wall between public and private sides. Providing ongoing compliance and regulatory advice to business personnel. Representing Compliance in client and prospect due diligence meetings. Reviewing fund constitutional documents. Coordinating compliance program within the framework of the firm s overall global program. Identify, review and respond to new and changing legal and regulatory obligations. Interact closely with all areas and personnel within the Legal and Compliance Department, including the global head of compliance, general counsel, head of money laundering prevention and senior management. Must have 5+ years experience in role of senior compliance officer (or CCO) for alternatives. J.D. degree is strongly preferred. Superior judgment and experience with handling conflicts of interest is essential. Experience working at or leading and inspection by the SEC or FINRA and responding to general regulatory requests or inquiries is essential. Private Equity fund experience is essential.
 
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