Compliance Manager

Cardea Group; New York (NY); On-site; USD 116,000 - 237,000; Full time

Job summary

A leading private equity fund seeks a Compliance Manager to oversee their compliance program in New York. This pivotal role involves collaborating with leadership to drive compliance initiatives and ensure regulatory adherence. Ideal candidates will have 8-12+ years of experience in investment advisory and a proactive approach to compliance management.

Benefits

Paid maternity leave

401(k)

Vision insurance

Medical insurance

Pension plan

Paid paternity leave

Disability insurance

Qualifications

• 8-12+ years of experience in investment advisory.
• Strong command of compliance responsibilities.
• Proactive and driven mentality.

Responsibilities

• Prepare regulatory filings and administer compliance program.
• Drive compliance initiatives based on regulatory trends.
• Conduct compliance testing and update policies.

Skills

Project Management

Compliance Program Management

Excellent Judgment

Communication

Education

Bachelor's Degree

Job description

Compliance Manager (New York, NY): Our client, a private equity fund with successful fundraises and increased AUM over the past decade, has a need for a strong, insightful Compliance Manager to join their team in a #3 capacity. The Compliance Manager will work closely with the Deputy CCO and CCO to oversee the day-to-day compliance program. This is an exceptional opportunity for a strategic-thinking compliance professional who would like to segway their career into a pivotal role collaborating with leadership on compliance initiatives and driving the compliance program to be best in class.

Key Points:

• Hiring manager is excited to onboard someone who is driven, strong at project management, and has a command of compliance programs
• Firm has a long track record and manages north of $40B in assets and a 20+ year history with a tremendous reputation in the industry
• High visibility generalist role working under two tremendous mentors in the compliance department
• Collaborative group of individuals across the organization where growth is promoted from within

Responsibilities:

• Prepare regulatory filings, administer the firm’s compliance program, and oversee Code of Ethics
• Collaborate with the marketing and investor inquiries teams to respond to RFPs, DDQs and other communications
• Drive compliance initiatives across various areas of the program depending on regulatory trends
• Conduct compliance testing and update policies/procedures
• Create risk matrices to outline compliance initiatives
• Monitor the investment/research’s team use of expert networks
• Partner with compliance consultants to conduct mock audits and heed advice on regulatory updates

Qualifications:

• 8-12+ years of experience in an investment advisor (private equity, private credit, hedge fund, etc.)
• Bachelor's Degree
• Strong command of full suite of compliance responsibilities with the ability to drive and lead projects
• Excellent judgment and ability to communicate with all levels of professionals
• Proactive, driven and mentality of excellence

Job Reference #2964169

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

• Industries

  Venture Capital and Private Equity Principals and Financial Services

Referrals increase your chances of interviewing at Cardea Group by 2x

Inferred from the description for this job

Paid maternity leave

401(k)

Vision insurance

Medical insurance

Pension plan

Paid paternity leave

Disability insurance

Get notified when a new job is posted.

Sign in to set job alerts for “Compliance Manager” roles.

New York, NY $163,300.00-$236,800.00 1 week ago

New York, NY $116,000.00-$168,000.00 2 weeks ago

Compliance Manager, Regulatory Change Management

New York, NY $105,600.00-$198,000.00 2 weeks ago

Brooklyn, NY $52,000.00-$63,500.00 2 months ago

New York, NY $95,000.00-$105,000.00 6 months ago

New York, NY $190,000.00-$260,000.00 4 days ago

Sanctions Compliance Sr. Manager/Counsel

New York, NY $200,000.00-$300,000.00 2 weeks ago

New York, NY $100,000.00-$120,000.00 6 months ago

New York City Metropolitan Area $300,000.00-$400,000.00 1 week ago

Chief Compliance Officer (Asset Management)

New York, NY $275,000.00-$320,000.00 3 weeks ago

New York, NY $125,000.00-$150,000.00 4 months ago

Compliance Specialist - Leading Global Hedge Fund - $200k+ total comp package

New York City Metropolitan Area 3 weeks ago

New York City Metropolitan Area 2 weeks ago

New York City Metropolitan Area $160,000.00-$200,000.00 2 weeks ago

New York, NY $100,000.00-$225,000.00 1 week ago

New York City Metropolitan Area 2 weeks ago

New York City Metropolitan Area 4 weeks ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.