Private Equity Compliance Manager

Larson Maddox; New York (NY); On-site; USD 130,000 - 150,000; Full time

Job summary

Larson Maddox is seeking a Private Equity Compliance Manager to join its leadership team in New York. The role blends internal leadership with client-facing advisory, focusing on building a high-performing compliance function for private funds.

You will mentor a team of Subject Matter Experts, oversee filings like Form ADV/Form PF, develop policies, review marketing materials, and guide ethics programs and annual reviews, shaping service offerings during a pivotal growth phase.

Qualifications

• Significant private funds compliance experience with a strong focus on private equity.
• Proven people management and team leadership experience.
• Experience with Form ADV filings.
• Experience with Form PF filings.
• Experience reviewing marketing materials and developing policies.

Responsibilities

• Manage, mentor, and develop a team of compliance Subject Matter Experts
• Oversee client engagements and ensure successful execution of compliance deliverables
• Lead regulatory filing processes, including Form ADV, Form PF, and related filings
• Draft, review, and maintain compliance policies and procedures
• Conduct marketing and advertising material reviews
• Administer and oversee Code of Ethics programs
• Lead annual compliance reviews and testing initiatives
• Manage compliance certifications and employee attestations
• Serve as a trusted compliance advisor to private fund clients, particularly private equity managers

Skills

People management

Private equity

Compliance leadership

Regulatory filings

Form ADV filings

Form PF filings

Job description

Compensation: $130,000 - $150,000 + Bonus

A rapidly growing consulting firm specializing in private equity compliance, is seeking a Private Equity Compliance Manager to join its leadership team.

Currently operating as a boutique platform, the firm is entering a significant growth phase with approximately a dozen approved hires, plans to substantially expand headcount over the coming years, and the anticipated launch of two new business lines. This is an opportunity to join a firm at a pivotal stage of growth and play a key role in shaping both the team and client service offering.

The position will be split roughly 50/50 between internal leadership and client-facing responsibilities. This individual will oversee and develop a team of compliance Subject Matter Experts while also serving as a lead advisor to private fund clients, ensuring the delivery of high-quality compliance solutions and regulatory support.

Key Responsibilities:

• Manage, mentor, and develop a team of compliance Subject Matter Experts
• Oversee client engagements and ensure successful execution of compliance deliverables
• Lead regulatory filing processes, including Form ADV, Form PF, and related filings
• Draft, review, and maintain compliance policies and procedures
• Conduct marketing and advertising material reviews
• Administer and oversee Code of Ethics programs
• Lead annual compliance reviews and testing initiatives
• Manage compliance certifications and employee attestations
• Serve as a trusted compliance advisor to private fund clients, particularly private equity managers

Desired Background:

• Significant private funds compliance experience with a strong focus on private equity
• Proven people management and team leadership experience
• Form ADV and Form PF filings
• Policies & procedures development and maintenance
• Marketing material review
• Code of Ethics administration
• Annual reviews
• Compliance certifications
• Background from a private equity firm, private fund manager, compliance consulting firm, law firm, the SEC, or another regulatory organization