Private Equity Compliance Leader | Growth-Phase Firm

Larson Maddox; Houston (TX); On-site; USD 150,000 - 180,000; Full time

Job summary

Larson Maddox in Houston seeks a Private Equity Compliance Manager to join its leadership team. The role blends internal leadership with client-facing work and will lead a team of compliance specialists while advising private fund clients on regulatory matters.

The position emphasizes Form ADV and Form PF filings, policy development, marketing material review, Code of Ethics administration, and annual compliance reviews, with a strong growth trajectory for the firm.

Qualifications

• Significant private funds compliance experience with a focus on private equity.
• Direct report experience is required.
• Experience with Form ADV and Form PF filings.
• Develop and maintain policies & procedures.
• Experience reviewing marketing materials.
• Code of Ethics administration experience.
• Experience conducting annual compliance reviews.
• Background at a PE firm, private fund manager, compliance consulting firm, law firm, the SEC, or regulatory body.

Responsibilities

• Manage, mentor, and develop a team of compliance SMEs.
• Oversee client engagements and ensure compliance deliverables.
• Lead regulatory filings including Form ADV and Form PF.
• Draft, review, and maintain compliance policies and procedures.
• Review marketing and advertising materials.
• Administer and oversee Code of Ethics programs.
• Lead annual compliance reviews and testing initiatives.
• Manage compliance certifications and employee attestations.
• Serve as trusted advisor to private fund clients, especially PE managers.

Skills

Private funds compliance

Form ADV filings

Form PF filings

Team leadership

Policies & procedures

Marketing material review

Code of Ethics administration

Annual reviews

Compliance certifications

PE firm background

Job description

Larson Maddox in Houston seeks a Private Equity Compliance Manager to join its leadership team. The role blends internal leadership with client-facing work and will lead a team of compliance specialists while advising private fund clients on regulatory matters.

The position emphasizes Form ADV and Form PF filings, policy development, marketing material review, Code of Ethics administration, and annual compliance reviews, with a strong growth trajectory for the firm.