Director of Compliance

Compliance Director - New York, NY: Our client is a rapidly expanding Private Equity firm with over $5B in AUM. As they continue to scale its platform across strategies and geographies, they’re adding talent to their compliance team at the director level. This is a broad, high-impact compliance role to drive the build-out of its internal compliance infrastructure. The team is seeking a compliance generalist with an entrepreneurial attitude to take ownership of processes and can help institutionalize processes within a fast-paced environment.

Key Points

• Opportunity to help build and formalize an evolving compliance program in partnership with senior leadership and external consultants
• High-growth, entrepreneurial investment platform with significant recent fundraising success
• Impact role within a lean compliance function with meaningful ownership and direct senior visibility
• Collaborative, open-concept office culture with four days in office

Responsibilities

• Oversee and manage the firm’s day-to-day compliance program across adviser and fund-level activities
• Serve as the primary internal compliance lead and key liaison with the firm’s external compliance consultants
• Manage regulatory obligations and compliance oversight for the firm’s global operations
• Oversee compliance aspects of the firm’s fundraising processes, including investor due diligence questionnaires (DDQs) and KYC requests
• Maintain and enhance the firm’s compliance policies and procedures to ensure they remain aligned with evolving regulatory expectations and firm growth
• Oversee regulatory filings including Form ADV, Form PF, and other applicable regulatory requirements
• Manage the firm’s annual compliance review process and ongoing regulatory monitoring with external compliance consultants
• Provide practical compliance guidance to internal stakeholders across the firm, including investment, operations, and senior management teams

Qualifications

• Significant compliance experience within the asset management industry, ideally in-house at a private fund manager
• Broad experience across investment adviser compliance programs, including regulatory filings, policies and procedures, and investor-related compliance matters
• Experience supporting fundraising compliance processes, including DDQs and KYC requests
• Self-starter with a hands-on approach and the ability to operate effectively in a lean team environment
• High ethical and professional standards with strong professional judgment
• Legal background or JD is welcomed but not required

Compensation: $200-250K base; competitive all-in

Job Reference #3548945