Private Funds Compliance Manager
About the role
My client, a rapidly growing consulting firm specializing in private funds compliance, is seeking a Private Funds Compliance Manager to join its leadership team. Currently operating as a boutique platform, the firm is entering a significant growth phase with approximately a dozen approved hires, plans to substantially expand headcount over the coming years, and the anticipated launch of two new business lines.
This is an opportunity to join a firm at a pivotal stage of growth and play a key role in shaping both the team and client service offering. The position will be split roughly 50/50 between internal leadership and client-facing responsibilities.
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
Requirements
Significant private funds compliance experience with a strong focus on private equity is required. Proven people management and team leadership experience is also necessary.
Qualifications
- Expertise in: Form ADV and Form PF filings
- Policies & procedures development and maintenance
- Marketing material review
- Code of Ethics administration
- Annual reviews
- Compliance certifications
A background from a private equity firm, private fund manager, compliance consulting firm, law firm, the SEC, or another regulatory organization is desired.
Pay
The base salary for this position is $175,000-$225,000.