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Compliance Officer

  • Location:

    New York

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    +1 212 292 3804

  • Job ref:

    BAJ11368_2

  • Published:

    11 days ago

  • Expiry date:

    2022-02-10

​Our Client

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.

Main Duties

Key responsibilities for this position will incude, 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

Your Profile

  • 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.
Email: jackson@rutherfordsearch.com
Reference Code: 11368

About Rutherford

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.