Compliance Manager – Private Equity Firm

  • Location
    Houston, Texas
  • Contract Type
    Permanent
  • Posted
  • Start Date
    ASAP
  • Expiry Date
    2022-10-14

Our client is a private equity firm looking to appoint an experienced Private Equity Compliance Manager who will report to the Chief Compliance Officer and a Compliance Committee and manage the compliance program and function at the firm. For the right person, this role has a clear runway to become Chief Compliance Officer of the firm within a set time period. This role will work on a hybrid basis from their Houston office.

In this role, you will:

  • Facilitate full compliance with SEC regulations and partner with the businesses to build compliant processes;
  • Maintain the compliance manual, internal controls, and supervisory procedures, with an eye to continually assessing whether the firm’s policies and procedures are adequate and commensurate with the changing nature of the Firm’s operations;
  • Assist with regulatory filing activities;
  • Keep up to date on all Advisers Act compliance rules and regulations;
  • Assist with information security and privacy related initiatives;
  • Contribute to Code of Ethics surveillance, including conflicts of interest, gifts and entertainment, political contributions, and lobbying;
  • Prepare and deliver monthly, quarterly and annual reports on compliance program;
  • Perform annual compliance training and test processes on an ad-hoc basis;
  • Cross-train across functions to support team members as needed.

Qualifications:

  • Bachelor’s Degree required;
  • 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;
  • Working knowledge of compliance requirements of AIFMD a plus;
  • Strong work ethic with great attention to detail.

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