Chief Compliance Officer

Cardea Group; Connecticut; On-site; USD 180,000 - 280,000; Full time

Benefits offered by this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

Disability insurance

Job summary

A leading private equity firm in Connecticut is seeking a Chief Compliance Officer. This role will influence the firm's compliance program and manage regulatory responsibilities, requiring a Bachelor's degree, JD, and over 10 years of relevant experience. The ideal candidate will have former big law experience and expertise in SEC regulatory compliance. Competitive benefits include medical insurance and a 401(k).

Qualifications

• 10+ years of experience required.
• Former experience in big law required.
• Current experience in a compliance capacity at a private equity or private credit organization.
• Expertise in regulatory compliance relevant to SEC-registered investment advisers, either as an in-house compliance professional, compliance consultant, or attorney.
• 10+ years of experience required.

Responsibilities

• Oversee all regulatory filings.
• Manage the entire compliance program.
• Collaborate with investment and marketing teams.
• Stay up to date on regulatory developments.

Skills

Regulatory compliance expertise

Leadership

Risk management

Education

Bachelor's degree and JD

Juris Doctor (JD)

Job description

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Chief Compliance Officer (Connecticut): Our client, a $10B private equity fund, is hiring an exceptional individual as their Chief Compliance Officer. This hire will be an integral part of the firm's cross-functional operations team, collaborating with Legal, Finance, and Investor Relations professionals. With the support of a General Counsel and Legal Analyst, the CCO will oversee the entirety of the compliance program and have a seat at the table with regards to business decisions.

Key Points

• Opportunity to have influence over the direction of the firm’s compliance program as a trusted advisor to senior management
• Leadership role with autonomy and a voice in evaluating and managing risks within the organization
• Organization consists of exceptional individuals, making this position ideal for someone seeking to be surrounded by and inspired by professionals with impressive careers and achievements
• Firm has stable assets, is currently fundraising, and has an established and strong reputation in the industry

Responsibilities

• Oversee all aspects (planning, preparation, and review) of regulatory filings
• Manage the entire compliance program from conducting compliance testing to ensuring effective cybersecurity policies and procedures are in place to Code of Ethics work
• Collaborate with the firm’s investment professionals and marketing team to review marketing decks/investor letters/DDQ responses and manage the restricted list
• Stay up to date on regulatory developments and industry trends to ensure the compliance program remains current and effective

Qualifications

• Bachelor’s degree and JD required
• Former experience in big law required
• Current experience at a private equity or private credit organization in a compliance capacity
• Expertise in regulatory compliance relevant to SEC-registered investment advisers, either as an in-house compliance professional, compliance consultant, or attorney
• 10+ years of experience required

Job Reference #AM3300935

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Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

Disability insurance

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