Our client, a leading alternative investment manager, is currently seeking a number two in their US Compliance team. The firm invests across a range of asset classes including private equity, private debt, real assets and renewables.
Key responsibilities for this position will include, but are not limited to:
Lead Compliance Officer for all compliance monitoring and code of ethics requirements
Advise the wider business on upcoming regulatory developments
Review and approve marketing and investor relations materials
Manage regulatory filings, including Form ADV, Form PF, Annex IV reporting, Forms 13 F (D, G, H if required, etc.)
Advise the investment and sales business on ad hoc regulatory/compliance queries
Provide compliance training to new joiners and stakeholders
3 - 6 years of compliance experience, ideally within a SEC registered private markets fund
Understanding of the Advisers Act
For more information about this position, please get in touch with Jackson Baker.
Phone: +1 332 256 0135
Reference Code: 11368
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.