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Director Of Compliance Jobs

Company

Hamlyn Williams
Address Beverly Hills, CA, United States
Employment type FULL_TIME
Salary
Category Financial Services,Investment Management
Expires 2023-08-27
Posted at 9 months ago
Job Description

Our client is a global investment firm with over $30 billion assets under management and a portfolio of 50 operating companies. The Firm specializes in mergers, acquisitions and operations within a broad range of business markets.


Currently, they are seeking a Director of Compliance to join their LA Office.


Based in Beverly Hills and reporting into the Deputy CCO, the Director of Compliance will be a key contributing member to the overall execution and improvement of the firm's global compliance program. This is an individual contributor role and a fantastic opportunity for a junior compliance professional to join a well established, collaborative team.


Responsibilities:

  • Facilitate full compliance with SEC regulations
  • Partner with businesses to build compliant processes
  • Administration of quarterly compliance training
  • Run quarterly and annual certification process
  • Monitor activities designed to prevent and detect misconduct involving violations of the Compliance Program
  • Cross-train across functions to support team members as needed
  • Maintain compliance manual, internal controls and supervisory procedures
  • Assist with regulatory filing activities
  • Facilitate annual compliance review with external compliance advisor
  • Assess firm's policies and procedures
  • Oversee the Code of Ethics and Code of Conduct - including daily requests related to employee trade surveillance, gifts & entertainment, political contributions and private investments
  • Test compliance processes


Qualifications:

  • Hands on experience with monitoring software (MCO, ComplySci etc.)
  • Bachelor's Degree (JD/MBA a plus)
  • Generalist Compliance experience
  • Collaborative and approachable work demeanor with the ability to work across business lines
  • Working knowledge of compliance requirements in the UK & Singapore-AIFMD is a plus
  • Strong working knowledge of the Advisers Act and best practices of compliance and risk program
  • 2-5 years of direct, hands on compliance experience within a Private Equity Firm, RIA or Compliance Consulting Firm


As the Associate Director of our Finance & Corporate Governance recruitment practice here at Hamlyn Williams, my team specializes in placing Compliance & Financial Crime professionals within the Financial Services space. If you're looking for your next opportunity or hiring for your team, please reach out to me directly: [email protected] | 619.489.0991