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Our client is a global investment firm with over $30 billion assets under management and a portfolio of 50 operating companies. The Firm specializes in mergers, acquisitions and operations within a broad range of business markets.
Currently, they are seeking a Director of Compliance to join their LA Office.
Based in Beverly Hills and reporting into the Deputy CCO, the Director of Compliance will be a key contributing member to the overall execution and improvement of the firm’s global compliance program. This is an individual contributor role and a fantastic opportunity for a junior compliance professional to join a well established, collaborative team.
Responsibilities:
- Oversee the Code of Ethics and Code of Conduct – including daily requests related to employee trade surveillance, gifts & entertainment, political contributions and private investments
- Facilitate annual compliance review with external compliance advisor
- Run quarterly and annual certification process
- Monitor activities designed to prevent and detect misconduct involving violations of the Compliance Program
- Administration of quarterly compliance training
- Maintain compliance manual, internal controls and supervisory procedures
- Assess firm’s policies and procedures
- Facilitate full compliance with SEC regulations
- Partner with businesses to build compliant processes
- Assist with regulatory filing activities
- Test compliance processes
- Cross-train across functions to support team members as needed
Qualifications:
- Bachelor’s Degree (JD/MBA a plus)
- Generalist Compliance experience
- 2-5 years of direct, hands on compliance experience within a Private Equity Firm, RIA or Compliance Consulting Firm
- Hands on experience with monitoring software (MCO, ComplySci etc.)
- Strong working knowledge of the Advisers Act and best practices of compliance and risk program
- Working knowledge of compliance requirements in the UK & Singapore-AIFMD is a plus
- Collaborative and approachable work demeanor with the ability to work across business lines
Hamlyn Williams
Director of Application Security
My client is an American security focused software company that plays a pivotal role in the creation of entertainment while offering a diverse range of career opportunities from Marketing to Human Resources to Finance and Supply Chain.
Summary:
As the Director of Application Security, you will be responsible for building security into the SDLC, working closely with CTO’s and development teams to better understand the current capabilities to develop code. Additionally, you will then utilize these practices to identify which areas have high maturity to scale across other platforms, as well as identifying where more resources need to be allocated.
- Create a multiyear strategy to outline operational plans for the current year
- Establish an Application Security memo to provide C Level Executives and the Board of Directors with more visibility regarding risks related to application security practices
- Baseline a plan to enhance the security maturity of my client’s development practices
- Drive the execution of security and secure coding practices across the engineering teams, collaborating with engineers across development teams while also performing hands-on work on the most critical challenges
- The ability to complete and lead Static Application Security testing, Dynamic Application Security testing, Software Composition Analysis, API Security testing when called upon
Requirements:
- 6+ years managing in a Cyber, Information, or Product security organization
- Hands on experience with security testing and threat modeling
- Strong understanding of ISMS structures, as well development practices and SDLC
- The clear ability to create memos that drive action and prevent risk
- Must have a strong knowledge of security issue prioritization mechanisms
- Knowledge of coding and big data
- Experience directly influencing current/former business-oriented decisions by collaborating with C Level Executives or the Board of Directors
Hamlyn Williams