Head of Compliance, US SEC and Advisers Act

Head of Compliance, US SEC and Advisers Act

About the Company

Acclaimed asset management company

Industry
Financial Services

Type
Privately Held

About the Role

The Company is seeking a Head of Compliance for the US, with a focus on the SEC and Advisers Act. The successful candidate will be responsible for leading and managing the firm's SEC compliance program, including policy oversight, implementation, and the annual compliance review. This role is pivotal as the primary US compliance contact and a key liaison with the global compliance team. The Head of Compliance will also serve as the point of contact with SEC exam staff, manage regulatory interactions, and ensure the firm is in line with all relevant compliance standards. Training on the Advisers Act Code of Ethics, managing relationships with outside counsel and compliance vendors, and supporting firmwide compliance initiatives are also key aspects of the position. Applicants for the Head of Compliance role at the company should have a Bachelor's degree, with a JD being desirable. Deep expertise in the Investment Advisers Act of 1940, particularly for a Registered Investment Advisor, is essential, and experience in private equity or hedge funds is a plus. The ideal candidate will have a strong background in SEC exams and mock audits, and must be open to periodic travel both within the US and internationally. The role requires a proactive individual who can lead and manage compliance projects, provide training, and ensure the firm is in full compliance with all relevant regulations.

Hiring Manager Title
Global Head of Risk and Compliance

Travel Percent
Less than 10%

Functions

• Finance