We are representing a large global Asset Management company in their search for a Head of Compliance – US, to be based in either San Francisco CA or Boston MA.
Why Join Us:
- Opportunity to join a large global investment business, with consistent growth and stability and recipient of multiple Best Places to Work awards
- Be part of a growing global compliance framework, taking the lead on US compliance and working closely with team members in other global locations
- Positive, team-oriented, and consensus-driven culture
- One of the world’s largest Asset Managers in its field
Responsibilities:
- This role reports to the Global Head of Risk and Compliance and serves as the primary US compliance contact and a key liaison with the global compliance team
- Lead and manage the firm’s SEC compliance program, including policy oversight and implementation
- Oversee the annual compliance review and ensure remediation of identified issues
- Serve as point of contact with SEC exam staff and manage regulatory interactions
- Maintain the compliance calendar and lead related projects
- Provide training on the Advisers Act Code of Ethics (Rule 204A-1)
- Manage relationships with outside counsel and compliance vendors
- Support firmwide compliance initiatives and training
- Assist with SEC filings and provide legal support for US investment activities
Requirements:
- Essential Education: Bachelor’s degree
- Desirable Education: JD
- The ideal candidate will bring deep expertise in the Investment Advisers Act of 1940 for a Registered Investment Advisor – experience in private equity or hedge funds is desirable
- You will have experience with SEC exams and mock audits
- You must be open to periodic travel both in the US and internationally
Location:
- It is essential that you currently in (or open to relocating to) either San Francisco or Boston
tion process for Head of Compliance – US:
Qualified applicants to send a resume to Steve Harrison at steve@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
