What are the responsibilities and job description for the Chief Compliance Officer position at Northbound Executive Search?
A growing PE fund based in CT is looking to add a Chief Compliance Professional to their growing team.
KEY RESPONSIBILITIES:
- Establish, maintain, administer, and interpret the firm’s compliance policies, procedures, and code of ethics program
- Develop and oversee cybersecurity policies, procedures, and related initiatives
- Partner with teams across the organization to identify potential conflicts of interest, risks, and internal controls
- Monitor changes in international, federal, and local laws and regulations applicable to the firm and ensure alignment with relevant regulatory bodies
- Prepare all required regulatory filings, including standard investment adviser and regulatory reporting forms
- Administer and document annual compliance program reviews in accordance with regulatory requirements
- Lead periodic compliance training for both new and existing employees
- Advise portfolio company personnel on regulatory compliance matters
- Review legal and investment-related documents, including management and advisory agreements, offering documents, subscription materials, side letters, placement agent agreements, and administrative agreements
- Support additional compliance and legal projects as needed
- Operate autonomously while contributing strategic input to the organization
REQUIREMENTS:
Bachelor’s degree required; Juris Doctor preferred
- 10-12 years of relevant compliance or related legal experience
- Demonstrated ability to take ownership of a compliance program, manage initiatives, and drive projects
- Broad knowledge of federal securities laws with strong familiarity in private markets and broker-dealer regulations
- Strong communication and influencing skills with the ability to build credibility with colleagues and senior leaders
- Strong advisory and negotiation capabilities
- Excellent research, analytical, and problem-solving skills with a proactive approach
- High degree of discretion, judgment, and confidentiality
- Track record of identifying issues and implementing effective solutions
Salary : $200,000 - $300,000