Private Fund Compliance Officer
Bekker Compliance Consulting Partners, LLC
Location: New York City or Boston (Hybrid)
Our client sponsors a range of private equity, growth capital, and real estate funds, with collective assets under management of over $3 billion. This firm is seeking to hire a dedicated compliance professional to fill a newly created role within the legal and compliance department. The position will report directly to the General Counsel/Chief Compliance Officer and will offer exposure to all aspects of legal and compliance activities. This is a unique opportunity for someone who wants to diversify his/her existing legal/compliance experience and knowledge in an entrepreneurial, fast-paced, and team-oriented environment.
This hybrid position can be based either in the New York or Boston office.
Responsibilities Include:
Overseeing Code of Ethics and ComplySci administration, supporting annual compliance training and reviews, restricted list administration, assisting in developing new policies and procedures, maintaining record-keeping across diverse business lines, overseeing third-party compliance advisor relationships
Supporting key Investor Relations tasks, including side letter monitoring, assisting with investor onboarding, investor requests, periodic investor reporting, and support and oversight of third-party relationships such as fund administrators and placement agents and consultants
Driving regulatory filing preparation and submission, including all components of Form ADV, Form PF, AIFMD reporting, among other regulatory filings
Assisting with marketing material review, preparing valuation and other committee minutes and agendas, and supporting vendor due diligence
Assisting with fund investment and administrative issues, including entity formation and maintenance, organization of internal books and records, preparing and maintaining investment-related checklists and related procedures, preparing and maintaining structure charts, and serving as a resource for deal teams in finalizing and maintaining operating documents
Performing legal and compliance research with respect to emerging legal, compliance, and regulatory issues, both fund- and firm-related, such as ESG and diversity trends and requirements, and supervising vendors in these areas
Required Skills:
Bachelor’s degree along with at least three years of relevant experience working in the private fund compliance space. A law degree is a plus.
Knowledge of relevant rules and regulations applicable to investment advisers (SEC, CFTC, AIFMD).
Knowledge of private equity preferred
Familiarity with FINRA/IARD portal. Familiarity with ComplySci or Illumis is a plus.
Candidate Must:
Be highly detail oriented; possess excellent organizational and communication skills
Exhibit a solutions-oriented mindset and eagerness to learn quickly
Be comfortable with managing/prioritizing multiple projects in a deadline-driven environment
Proficient with Microsoft Office Suite (including Word, Excel, and PowerPoint)
Be committed to maintaining the firm’s core values, including integrity and confidentiality
Be a team player capable of working collaboratively across multiple teams at all organizational levels
Competitive salary commensurate with experience. Competitive benefits, package, including 401(k), fully paid health insurance, and very competitive caregiver leave policy.
If you are interested in this position, please email your resume to cbekker@bccp-llc.com. Also please include a cover letter describing your qualifications as they relate to this position and why you are interested. Only qualified candidates will be shortlisted and contacted to schedule an interview. Thank you.
To apply, please email cbekker@bccp-llc.com