Head of Compliance

Head of Compliance

About the Company

One of the world’s largest asset managers with consistent growth and stability

Industry
Investment Management

Type
Privately Held

About the Role

The Company is seeking a Head of Compliance – US to join their team. The successful candidate will be the primary US compliance contact and a key liaison with the global compliance team. This role is pivotal in leading and managing the firm's SEC compliance program, including policy oversight and implementation, and serving as the point of contact with SEC exam staff. Responsibilities also include overseeing the annual compliance review, maintaining the compliance calendar, providing training on the Advisers Act Code of Ethics, and managing relationships with outside counsel and compliance vendors. The Head of Compliance will be expected to support firmwide compliance initiatives, assist with SEC filings, and provide legal support for US investment activities. Applicants for the Head of Compliance – US position at the company should have a Bachelor's degree, with a JD being desirable. The ideal candidate will have deep expertise in the Investment Advisers Act of 1940, particularly for a Registered Investment Advisor, and experience in private equity or hedge funds. Experience with SEC exams and mock audits is essential. The role requires the ability to lead and manage compliance programs, as well as the flexibility to travel both within the US and internationally. The company values a positive, team-oriented, and consensus-driven culture, and the Head of Compliance will be an integral part of the growing global compliance framework.

Hiring Manager Title
Global Head of Risk and Compliance

Functions

• Finance
• Legal