Director of Compliance Head of Compliance Private Equity (CCO Track)

Boston, NH - USA

Monthly Salary: Not Disclosed

Posted on: 6 hours ago

Vacancies: 1 Vacancy

Job Summary

About the Company

Established institutional middle-market private investment firm with a long-standing track record and a highly engaged LP base.
Multi-strategy platform spanning flagship private equity private credit and technology investing with continued growth planned over the coming years.
Boston HQ with a significant New York presence; collaborative one team culture with high standards and strong internal relationships.

About the Group (Legal & Compliance)

Lean high-impact Legal & Compliance function led by the firms General Counsel.
The team is business-facing and closely integrated with Investment Investor Relations and Operationsespecially in periods of active fundraising and increased marketing activity.
The role will have 12 direct reports initially (plus third-party vendors) and requires a hands-on operator who can also function strategically and scale the program as the firm grows.
For the right individual the seat can be scoped and titled atCCO level from day one; alternatively the firm is open to a Director-level leader with clear runway to CCO as the platform both scenarios the hired individual will head up the compliance function for the firm.

Responsibilities

Own day-to-day leadership of the compliance program and supervise the compliance function including team management and development.
Act as the senior compliance partner to business groupsprovide practical guidance navigate gray areas and deliver clear well-reasoned responses where needed.
Maintain final approval for marketing and investor communications including fundraising materials and related disclosure governance.
Lead preparation and maintenance of Form ADV and oversee Form PF filings and related private fund reporting obligations.
Drive the annual compliance review process end-to-end including documentation findings remediation planning and program enhancements.
Oversee the annual compliance program cycle (training attestations policy refreshes annual compliance meetings) and ensure consistent execution across teams.
Manage the compliance monitoring/testing program including oversight of internal testing and externally performed testing.
Coordinate targeted reviews mock exams and exam-readiness work with outside consultants; track remediation and evidence of closure.
Oversee compliance systems and vendors including ComplySci administration/governance workflow effectiveness and vendor management.
Monitor and document investment allocation controls and related governance; partner with Investment/Operations to ensure controls are practical and well-documented.
Support LP and counterparty diligence (DDQs on-site/virtual diligence discussions periodic program reviews) and ensure a consistent high-quality external compliance narrative.
Stay current on regulatory developments exam trends and enforcement priorities; translate changes into pragmatic updates to policies procedures and controls as the platform evolves (including potential future product complexity such as 40 Act / BDC considerations).

Qualifications

Progressively responsible investment adviser compliance experience within private funds and/or multi-strategy asset management (private equity and/or private credit strongly preferred).
Demonstrated ownership of a mature compliance program (or major components of it) including marketing review conflicts allocations training testing vendor oversight and exam readiness.
Direct experience leading or materially owning Form ADV and Form PF processes; strong command of the adviser regulatory framework and private fund compliance expectations.
Strong stakeholder management and EQcredible with senior leadership and able to influence across functions; comfortable being the go-to compliance advisor.
Proven ability to operate hands-on in a lean environment while also setting direction building infrastructure and scaling a program over time.
Experience managing compliance technology (e.g. ComplySci) and third-party vendors/consultants; able to improve workflows and increase program efficiency.
JD is beneficial but not required; candidates may come from in-house compliance leadership private funds counsel/compliance counsel backgrounds or regulator-to-industry paths.

Compensation Structure and Logistics

Target compensation: Competitive base salary (DOE) 25% bonus target.
Potential for longer-term upside through future co-invest and/or carry/investment participation (structure and timing dependent; not typically immediate day-one).
Flexible start timing to accommodate year-end bonus cycles where appropriate.

About the CompanyEstablished institutional middle-market private investment firm with a long-standing track record and a highly engaged LP base.Multi-strategy platform spanning flagship private equity private credit and technology investing with continued growth planned over the coming years.Boston ...

About the Company

Established institutional middle-market private investment firm with a long-standing track record and a highly engaged LP base.
Multi-strategy platform spanning flagship private equity private credit and technology investing with continued growth planned over the coming years.
Boston HQ with a significant New York presence; collaborative one team culture with high standards and strong internal relationships.

About the Group (Legal & Compliance)

Lean high-impact Legal & Compliance function led by the firms General Counsel.
The team is business-facing and closely integrated with Investment Investor Relations and Operationsespecially in periods of active fundraising and increased marketing activity.
The role will have 12 direct reports initially (plus third-party vendors) and requires a hands-on operator who can also function strategically and scale the program as the firm grows.
For the right individual the seat can be scoped and titled atCCO level from day one; alternatively the firm is open to a Director-level leader with clear runway to CCO as the platform both scenarios the hired individual will head up the compliance function for the firm.

Responsibilities

Own day-to-day leadership of the compliance program and supervise the compliance function including team management and development.
Act as the senior compliance partner to business groupsprovide practical guidance navigate gray areas and deliver clear well-reasoned responses where needed.
Maintain final approval for marketing and investor communications including fundraising materials and related disclosure governance.
Lead preparation and maintenance of Form ADV and oversee Form PF filings and related private fund reporting obligations.
Drive the annual compliance review process end-to-end including documentation findings remediation planning and program enhancements.
Oversee the annual compliance program cycle (training attestations policy refreshes annual compliance meetings) and ensure consistent execution across teams.
Manage the compliance monitoring/testing program including oversight of internal testing and externally performed testing.
Coordinate targeted reviews mock exams and exam-readiness work with outside consultants; track remediation and evidence of closure.
Oversee compliance systems and vendors including ComplySci administration/governance workflow effectiveness and vendor management.
Monitor and document investment allocation controls and related governance; partner with Investment/Operations to ensure controls are practical and well-documented.
Support LP and counterparty diligence (DDQs on-site/virtual diligence discussions periodic program reviews) and ensure a consistent high-quality external compliance narrative.
Stay current on regulatory developments exam trends and enforcement priorities; translate changes into pragmatic updates to policies procedures and controls as the platform evolves (including potential future product complexity such as 40 Act / BDC considerations).

Qualifications

Progressively responsible investment adviser compliance experience within private funds and/or multi-strategy asset management (private equity and/or private credit strongly preferred).
Demonstrated ownership of a mature compliance program (or major components of it) including marketing review conflicts allocations training testing vendor oversight and exam readiness.
Direct experience leading or materially owning Form ADV and Form PF processes; strong command of the adviser regulatory framework and private fund compliance expectations.
Strong stakeholder management and EQcredible with senior leadership and able to influence across functions; comfortable being the go-to compliance advisor.
Proven ability to operate hands-on in a lean environment while also setting direction building infrastructure and scaling a program over time.
Experience managing compliance technology (e.g. ComplySci) and third-party vendors/consultants; able to improve workflows and increase program efficiency.
JD is beneficial but not required; candidates may come from in-house compliance leadership private funds counsel/compliance counsel backgrounds or regulator-to-industry paths.

Compensation Structure and Logistics

Target compensation: Competitive base salary (DOE) 25% bonus target.
Potential for longer-term upside through future co-invest and/or carry/investment participation (structure and timing dependent; not typically immediate day-one).
Flexible start timing to accommodate year-end bonus cycles where appropriate.