Compliance Jobs

Senior Director of Compliance, Private Equity, Remote

By September 13, 2021 No Comments

We are exclusively representing a middle market firm focused on the health and wellness industry in its search for a Senior Director of Compliance.

Why Join Us:
• Lead the team responsible for regulatory change management and rule tracking, enterprise policy governance and policy management, compliance training and continuing education.
• Join a team with over 30 years of experience and a tenacious conviction to create value.

Principal Responsibilities:
• Responsible for overall compliance program management and risk assurance, including the compliance program assessment, compliance risk assessments, compliance testing strategy
• Prepares reports and make presentations to senior management regarding portfolio annual plan, investment recommendations, portfolio performance and other portfolio matters and initiatives
• Assist in document production and responses to regulatory inquiries and audits and manage a productive relationship with regulators
• Create annual compliance training materials
• Monitors and manages the portfolio of existing private equity, or similar, investments to ensure compliance with the terms of the limited partnership agreements and other contracts
• Perform and oversee initial and ongoing due diligence of M&A securities engagements, and private placements
• Thorough and efficient identification of issues, structuring and execution of analysis, development of actionable recommendations, and implementation of those recommendations.
• Performs quantitative and qualitative due diligence on prospective investment opportunities including evaluating past track records
• Develops framework for analyzing the performance of existing investments
• Prepares investment commentaries and performs special projects as may be required

• Excellent working knowledge of SEC regulations, including the Dodd-Frank Wall Street Reform and Consumer Protection Act
• Seven (7) or more years of progressively responsible full-time direct experience in a financial services organization in identifying Private Equity investment opportunities
• FDA compliance experience strongly preferred.
• Bachelor’s degree required; JD preferred.
• Proficiency with Private Equity data sources such as Burgiss and/or other providers
• Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations.
• Ability to write reports, business correspondence, and procedural manuals.

Application Process– Qualified professionals are to submit resume to Jessica Simpson at:

Published by Conselium Executive Search, the global leader in compliance search.  

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