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Private Equity Compliance Officer, VP

  • Location

    Beverly Hills, CA.

  • Sector:

    Financial Services and Banking

  • Salary:

    $150,000 - $165,000

  • Contact:

    Katherine Barnes

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    2 months ago

  • Expiry date:


  • Startdate:


A global investments client of ours is looking to add a Private Equity Compliance Officer VP to their Compliance team! This position will report to the Deputy Chief Compliance Officer and will contribute to the overall execution and improvement of their global compliance program and function at the firm.  

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.
  • Review fund activity to detect potential compliance issues.
  • 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.
  • Assist with regulatory filing activities where appropriate.
  • Contribute to Code of Ethics surveillance.

Requirements Include:

  • Bachelor’s Degree, strong preference for JD/MBA.
  • 4+ 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.