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
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