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Job

Private Equity Compliance Officer, VP/SVP

  • Location

    Beverly Hills, CA

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $175,000-$250,000

  • Contact:

    Hannah Twomey

  • Contact email:

    h.twomey@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    about 2 months ago

  • Expiry date:

    2023-04-20

  • Startdate:

    ASAP

A wealth management partner of ours in Southern California is looking for an experienced Private Equity Compliance Officer to join their growing organization. This position will report to the Deputy Chief Compliance Officer and will contribute to the overall execution and improvement of our global compliance program and function at the firm.

 

As a Private Equity Compliance Officer, you will:

  • 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;
  • Assist with regulatory filing activities where appropriate;
  • Keep up to date on all Advisers Act compliance rules and regulations;
  • Build international regulatory frameworks as we grow;
  • Assist with information security and privacy related initiatives;
  • Contribute to Code of Ethics surveillance, including conflicts of interest, gifts and entertainment, political contributions, lobbying;
  • Test processes on an ad-hoc basis;
  • Cross-train across functions to support team members as needed.
     

As a Private Equity Compliance Officer, you will need:

  • Bachelor’s Degree, strong preference for JD/MBA;
  • 4-6 years direct, hands on, 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;
  • Working knowledge of compliance requirements in the UK and Singapore - AIFMD major plus;
  • Strong work ethic with great attention to detail;
  • Demonstrable ability to work independently as well as within a team;
  • Ability to maintain confidentiality within and external to the organization.

 

If you are a skilled Private Equity Compliance Officer, you can apply by: 

 

Selecting the “Apply” button below or by contacting me directly.

As a Compliance & Financial Crime market specialist, I am partnered with a myriad of large and small Financial Services and Wealth Management Institutions across the West Coast. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:

Hannah Twomey, h.twomey@hamlynwilliams.com, 619-324-0225

 

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