Senior Compliance Manager

H&P Executive Search; Chicago (IL); Hybrid; USD 140,000 - 210,000; Full time

Benefits offered by this job

Partial work-from-home options

Medical and dental benefits

Paid parental leave

Family benefits

Parental leave

Job summary

A leading executive search firm in the USA seeks a Senior Compliance Manager to oversee compliance for SEC-related activities. The role requires 7+ years in financial compliance and offers leadership opportunities within a small team. Benefits include medical, dental, and partial work-from-home options, along with extensive professional growth opportunities.

Qualifications

• At least 7 years of professional experience in financial compliance.
• Experience with SEC regulations and compliance program management.
• Proven ability to oversee SEC exams.
• Proven ability to maintain and improve compliance programs and manage SEC exam processes.

Responsibilities

• Lead and manage the compliance function for SEC-related activities.
• Develop compliance programs to meet regulatory requirements.
• Collaborate with CRO and General Counsel on compliance strategy.
• Collaborate with the CRO and General Counsel on compliance strategy and advisement.
• Supervise a small team (2-5 members) and provide hands-on guidance as needed.

Skills

Financial compliance expertise

Understanding of SEC regulations

Team leadership

Regulatory compliance

Education

JD from an accredited school

Job description

Overview

This range is provided by H&P Executive Search. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

One of the biggest holding companies in the world, and a long-standing client of ours, is currently on the lookout for a Senior Compliance Manager as they prepare to ramp up investments and operations across the USA. This is an exceptional opportunity to join one of the most influential organisations in its sector and take extensive responsibility for the department. Please note that although this is a managerial role, it does require a significant degree of "hands-on" work. Please note this role can be based out of Boston or San Francisco.

Responsibilities

• Lead and manage the compliance function for SEC-related activities and programs.
• Maintain and develop compliance programs to meet regulatory requirements.
• Prepare for and respond to SEC exams with experience and oversight from the team.
• Collaborate with the CRO and General Counsel on compliance strategy and advisement.
• Supervise a small team (2-5 members) and provide hands-on guidance as needed.

Qualifications

• At least 7 years of professional experience in financial compliance or a related field.
• Ideally a JD from an accredited school, or extensive exposure to financial compliance at a top law firm or major financial services players.
• Strong understanding of SEC regulations, specifically the Advisers Act of 1940.
• Proven ability to maintain and improve compliance programs and manage SEC exam processes.

Offer and Benefits

• Direct reporting line to Chief Risk Officer (CRO) and advisory to General Counsel.
• Leadership of a small team (2-5 people).
• Partial work-from-home options (1/2 days).
• Medical and dental benefits, retirement plans, and commuting support.
• Paid time off, including 4 months of parental leave, and family benefits.
• Exposure to world-leading projects and professional growth opportunities.

Job Details

• Seniority level: Mid-Senior level
• Employment type: Full-time
• Job function: Legal
• Industries: Venture Capital and Private Equity Principals

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