We are representing a well-established PE firm with $10+Bn in AUM in its search for a Senior Compliance Officer.
This is a broad compliance, regulatory/legal operations, and corporate governance role supporting the firm’s CCO. The individual will help manage day-to-day compliance processes, regulatory obligations, and governance workflows across the firm’s growing platform and expanding holding-company structure.
The role is a strong fit for a hands-on compliance or governance professional coming from a private equity, private credit, asset management, investment management, fund administration, or corporate/investment management legal environment. This is not a standalone CCO position, but rather an opportunity to work closely with senior leadership and take meaningful ownership across the compliance and governance function.
Responsibilities
- Support the firm’s compliance program, including compliance calendar management, policies and procedures, testing, annual reviews, and related documentation
- Assist with investment adviser regulatory obligations and filings, including Form ADV, Form PF, Section 13 filings, and related reporting requirements
- Support corporate governance and entity management matters across fund, holding-company, and portfolio-related structures
- Maintain governance records, consents, minutes, officer/director information, and related corporate documentation
- Coordinate with internal stakeholders across finance, accounting, operations, investor relations, and investment teams to gather information and keep compliance and governance processes moving
- Liaise with outside counsel, fund administrators, registered agents, compliance consultants, and other external service providers
- Assist with books and records, compliance documentation, regulatory projects, and process improvements as the firm continues to scale
- Support broader legal operations, corporate governance, and regulatory initiatives as needed
- Experience5+ years of relevant experience in compliance, corporate governance, legal operations, investment management, private funds, asset management, private equity, private credit, or a related environment
- Experience supporting compliance and/or governance matters for an investment adviser, fund manager, private equity firm, private credit platform, asset manager, law firm, fund administrator, or similar organization
- Familiarity with investment adviser compliance, SEC-related obligations, regulatory filings, corporate governance, and entity management processes
- Strong organizational skills and ability to manage recurring processes, deadlines, filings, and documentation across multiple entities
- Ability to work closely with senior leadership and take ownership of day-to-day compliance and governance workflows
- Strong attention to detail, judgment, and ability to manage sensitive information in a professional environment
