Head of Compliance - Real Estate Fund
Coda Search│Staffing - Hoboken, NJ
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Company **Our client is a well respected Investment Manager in Hoboken, right off the PATH train. This firm has had a successful deployment of their most recent fundraise and is growing quickly. Because of this they are growing in many areas of the business and are looking to enhance their legal/compliance function and register with the SEC. The company has a great entrepreneurial tech-firm like culture, and boasts a strong work/life balance (including unlimited PTO)Job *This position will work in tandem with the firms General Counsel to enhance a well-run compliance division. This role will be responsible for developing and implementing the firms compliance program in alignment with the SEC Advisory Act rules and practices. This role is hands-on and requires someone adept at identifying organization needs, gaps, and the ability to manage and enact change. *Establish and enforce the firms compliance program in accordance with SEC Advisory Act rules and regulationsOversee the companys existing compliance program and policies to align with regulatory requirementsConduct mock audits to prepare for SEC registrationImplement and manage the monitoring systems for communication, personal trading, investor materials, and any other compliance mattersPrimary point of contact with various regulatory bodies, including the SECWork closely with senior leadership to work risk management into the business strategyProvide support and guidance to other departments on compliance related issues**Bachelors degree in Law, Business, or FinanceAdvanced degree, such as MBA or JD, preferred5-10 years of experience in compliance within financial services (PE or RE preferred)Expertise in SEC regulations and the Investment Advisers Act of 1940Experience in developing and implementing firm-wide compliance programs
Created: 2024-09-26