Private Funds Compliance Manager

Key Responsibilities

• Manage, mentor, and develop a team of compliance Subject Matter Experts
• Oversee client engagements and ensure successful execution of compliance deliverables
• Lead regulatory filing processes, including Form ADV, Form PF, and related filings
• Draft, review, and maintain compliance policies and procedures
• Conduct marketing and advertising material reviews
• Administer and oversee Code of Ethics programs
• Lead annual compliance reviews and testing initiatives
• Manage compliance certifications and employee attestations
• Serve as a trusted compliance advisor to private fund clients, particularly private equity managers

Desired Background

• Significant private funds compliance experience with a strong focus on private equity
• Proven people management and team leadership experience
• Expertise in: Form ADV and Form PF filings, Policies & procedures development and maintenance, Marketing material review, Code of Ethics administration, Annual reviews, Compliance certifications
• Background from a private equity firm, private fund manager, compliance consulting firm, law firm, the SEC, or another regulatory organization