Private Equity – VP – Compliance Officer

Full Time

Private Equity Client

Office Status: Hybrid

Client is a $3.8 billion private equity firm

Responsibilities:

  • Assist in all key facets of implementing and maintaining a best in class dedicated compliance function for the firm.
  • Assisting in the drafting, updating, and revision of Firm policies and procedures.
  • Monitoring the firm’s trading activities and advise on compliance restrictions.
  • Managing compliance workflows in the Firm’s operating management and portfolio management systems.
  • Performing regular email review and surveillance, as well as weekly, monthly, and annual testing to detect potential regulatory violations and ensure compliance with regulations and Firm policies.
  • Monitoring and enforcing the Firm’s information barriers, wall crossings, and flow of material non-public information, as well as the pre-clearance of permitted communications between different business groups.
  • Performing anti-money laundering and anti-corruption diligence reviews.
  • Both lead and support key compliance and regulatory-related projects and initiatives.
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