Monday, March 26, 2012
Compliance Officer - Private Equity - New York, NY
Company Description: A global Private Equity firm. Founded more than 30 years ago. Company Funds advised exceed $30 billion.
Position Responsibilities: The U.S. Compliance Officer or 'Associate' will report to the Global Head of Compliance based in London and will support the Chief Compliance Officer (CCO) based in New York. The U.S. Compliance Associate will have primary responsibility for performing the compliance monitoring work in accordance with the agreed program.
Additional responsibilities will include:
• Maintain regulatory records in the U.S.
• developing an understanding of business and application of SEC requirements to the business
• Act as the initial point of contact in the U.S. office for compliance related queries
• Monitor regulatory developments and contributing towards global compliance policies
• Provide ad hoc compliance advice to the U.S. office
• Assist the Global Head of Compliance with training for the US office
• Work as part of a global compliance team with colleagues based in London
• Monitor personal account trading against the restricted list and Code of Ethics
Experience and Requirements:
• Excellent academic record
• Must have experience employed in the Office of Compliance Inspections and Examinations, Investment Management or Trading and Markets at the S.E.C. Related in-house Hedge Fund or Private Equity experience will be considered.
• Must be able to work pro-actively and be a self-starter
• Must have strong written and communication skills
Please e-mail resume and brief cover letter to: Stuart@RosenthalRecruiting.com
Website has more information and ways to connect: http://www.RosenthalRecruiting.com
Posted by Stuart Rosenthal