Our client, a mid-market private equity firm, is looking for a Compliance Officer/Compliance Counsel in San Francisco. This is a newly created role where you will be working as the right hand of the Chief Compliance Officer & General Counsel.
The position requires experience working with the Investment Advisers Act of 1940 and the Investment Company Act of 1940 as well as experience related to SEC rules and regulations ideally in relation to private equity.
The ideal candidate will be a compliance professional who has some experience on that front, but who is looking to add breadth and assist with some more traditional legal roles as well.
- Assistance with "know your customer" and anti-money laundering processes;
- Legal entity formation and management, and working with counsel and deal teams to maintain up-to-date legal structures and share registers, and director and officer lists;
- Drafting corporate, partnership and limited liability company resolutions and authorities;
- Assistance with transaction closing process;
- Working with outside counsel to create and maintain charts of key terms for transactions, financing and employment arrangements;
- Assistance with non-disclosure agreements;
- Preparation and filing of Form ADV and Form PF;
- Review and development of Registered Investment Adviser Policies and Procedures and Code of Ethics, and to assist and identify areas where policies and procedures need to be developed or amended or desktop policies added;
- Design, implement and test compliance policies and procedures, and surveillance/monitoring reports on a periodic basis;
- Designing and implementing compliance training program;
- Working with GC to maintain and improve monitoring list processes;
- Working with GC and outside counsel on staying up-to-date on legal and regulatory issues and developments, and developing and implementing related strategy; and
You will need to possess a strong academic profile, excellent organizational & communication skills and proven experience working with executives globally. This will offer you outstanding career progression and development. Compensation is competitive and commensurate with industry experience.
For more information, please contact Benjamin Ellison on 646 766 1212 or