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Senior Compliance Officer

  • Location:

    New York

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    +1 332 256 0135

  • Job ref:

    BAJ11482_3

  • Published:

    about 1 month ago

  • Expiry date:

    2022-06-27

​Our Client

Rutherford has been mandated on a search for a leading tech-focused private equity firm with c.$50bn AuM that are looking to hire their first US-based Compliance Officer. This role will grow into the US Chief Compliance Officer and will oversee the US compliance program.

The firm has ambitious growth plans which are focused on the United States.

Main Duties

Key responsibilities for this position will include, but are not limited to:

  • Lead the development and implementation of the US compliance policies and procedures for the firm

  • Provide regulatory support and advice to the front office and senior management

  • Review and approve marketing materials

  • Prepare, review and manage regulatory filings

  • Create the US Code of Ethics compliance program

  • Conduct transaction due diligence from a compliance and financial crime risk perspective

  • Prepare the firm for SEC audits or examinations

  • Conduct horizon scanning for the firm and advise the global team on how to implement new regulations through the firm

Your Profile

  • 6+ years of compliance or legal experience within a RIA, ideally within private equity

  • In depth knowledge of the Investment Advisers Act of 1940

  • Strong academics

For more information about this position, please get in touch with Jackson Baker.
Email: jackson@rutherfordsearch.com
Phone: +1 332 256 0135
Reference Code: 11482

About Rutherford
Rutherford is a boutique search firm located in London and New York. 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.