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Job

Compliance, VP

  • Location

    Los Angeles

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $175,000 - $200,000 + bonus

  • Contact:

    Matt Lang

  • Contact email:

    m.lang@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    28 days ago

  • Expiry date:

    2021-08-26

  • Startdate:

    ASAP

A Private Equity client in Los Angeles is looking for a well-rounded Compliance professional to join its expanding team! This role will report in to the Deputy Chief Compliance Officer and will contribute to the overall execution and improvement of the firm’s global compliance program. 

Responsibilities include:

  • Facilitate full compliance with SEC regulations and partner with the businesses to build compliant processes
  • Review and approve marketing, advertising materials, social media content in compliance with the requirements of the Advisers Act while partnering with advisors to implement the new Advisers Act requirements
  • Review fund activity to detect potential compliance issues and execute corrective action as needed
  • Help maintain the compliance manual, internal controls, and supervisory procedures, with an eye to continually assessing whether the firm’s policies and procedures are adequate and commensurate with the changing nature of the Firm’s operations
  • Keep up to date on all Advisers Act compliance rules and regulations

Requirements include:

  • Bachelor’s Degree (JD/MBA preferred)
  • 5+ years of compliance experience within a private equity firm, RIA, compliance consulting firm, or law firm
  • Strong working knowledge of the Advisers Act and best practices of a compliance and risk program

If this opportunity interests you, please get in touch! M.Lang@hamlynwilliams.com #LI-ML1