Compliance Manager (Pathway to CCO)

Atlantic Group; New York (NY); On-site; USD 200,000 - 250,000; Full time

Benefits offered by this job

Health Insurance

Retirement Plans

Flexible Work Hours

Professional Development Opportunities

Job summary

An established industry player is seeking a skilled compliance professional to join their team in a high-growth environment. This role involves supporting the Chief Compliance Officer in managing compliance functions and ensuring adherence to regulatory standards. The ideal candidate will have a strong background in regulatory compliance, documentation, and risk assessment, along with the ability to oversee employee onboarding and payroll administration. This is a fantastic opportunity to contribute to a dynamic firm that is expanding its fund offerings and making a significant impact in the private equity sector.

Qualifications

• Proven experience in regulatory compliance within financial services.
• Strong documentation and recordkeeping skills are essential.

Responsibilities

• Assist the Chief Compliance Officer with daily compliance functions.
• Ensure adherence to regulations and maintain compliance records.
• Oversee employee onboarding and offboarding processes.

Skills

Regulatory Compliance

Documentation Skills

Risk Assessment

Employee Onboarding

Payroll Administration

Education

Bachelor's Degree in Law or Finance

Compliance Certification

Tools

ComplySci

Regulatory Filing Systems

Job description

This range is provided by Atlantic Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$200,000.00/yr - $250,000.00/yr

A middle market private equity buyout firm with $1.6B commitments raised to date and currently raising a fourth fund. A Registered Investment Adviser (RIA) seeking an experienced compliance professional to manage its compliance function. This is a high growth position as they expand its fund offerings.

Role and responsibilities

• Support CCO: Assist the Chief Compliance Officer with day-to-day compliance functions, ensuring adherence to policies, reporting deadlines, and ongoing regulatory updates.
• Regulatory Monitoring & Reporting: Ensure the firm is in compliance with regulations (e.g., SEC, AML, Privacy Regulations, FINRA) and internal policies.
• Documentation & Recordkeeping: Maintain up-to-date compliance records, regulatory filings, and necessary documentation (e.g., Form ADV, compliance reports) and maintain ComplySci system.
• Employee Compliance: Ensure staff compliance on all regulatory matters and company policies, including ethical standards, securities reporting and attestations through ComplySci.
• Internal Compliance Reviews: Assist with periodic internal compliance audits, risk assessments, and monitoring of investment activities to ensure adherence to fund policies.
• Employee Onboarding & Offboarding: Oversee the onboarding process for new hires, following compliance procedures and firm requirements. Manage offboarding process. Assist CFO with employee term sheets, employment and separation agreements.
• Employee Records & Reporting: Maintain up-to-date employee files and records in compliance with company policies and legal requirements.
• Payroll and Benefits Administration: Coordinate with external PEO service provider to ensure timely and accurate payroll processing and maintenance of employee benefits program, including health insurance, retirement plans, and other perks.

Seniority level

Director

Employment type

Full-time

Job function

Legal