Details.
A leading private investment firm is seeking a CCO/DGC to take ownership of its compliance function. The role includes building and refining compliance processes and infrastructure, maintaining policies and workflows, tracking and resolving compliance matters, overseeing regulatory filings and obligations, advising on regulatory requirements affecting investment advisers and private funds, enforcing policies related to conflicts of interest, personal trading, MNPI, and the code of ethics, reviewing investor-facing materials, supporting commercial agreements and other compliance-related legal matters, and partnering with internal teams and external advisors. Qualifications include a J.D. with active bar membership, experience in investment management compliance, preferably in private equity or alternative asset management, the ability to build or improve compliance programs, a proactive hands-on approach, strong communication skills, and sound judgment.
