Regional Compliance Officer

Robert Half
August 24, 2021
Broomfield, CO
Job Type


Ref ID: 00610-0011945004

Classification: Compliance Officer

Compensation: $350000.00 to $400000.00 yearly

Regional Head of Compliance Officer

Our client, a leading Private Equity company is seeking a 15 plus years experienced Regional Head of Compliance. The Regulatory Compliance team Americas manages the compliance program for two Registered Investment Advisers, one Registered Investment Company, one CVM registered entity in Brazil and a Canadian affiliate. The team's responsibilities include oversight of 3 offices in the US, one each in Brazil and Canada, over 200 employees and all marketing activities in the western hemisphere. Responsibilities include managing the regional compliance program (currently US, Canada and Brazil), managing a team of employees, interpreting and implementing US Securities law requirements as they apply to the firm, designing and implementing innovative product and investment structures, identifying and addressing regulatory risk areas, researching products and jurisdictions in the Americas, supporting business development efforts. 10 plus years experience as a CCO of a SEC-registered investment advisor and preferably experience with FINRA; experience in fund management for private funds (e.g. private equity) are required for this position. The Regional Compliance Head would be responsible for the registration of employees both with FINRA, the SEC, and relevant states. Top academic credentials in law (J.D. or LL.M. preferred) are required. Strong knowledge of the Investment Advisers Act of ‘40, Investment Company Act of ‘40, Securities Act of '33, ERISA, State Lobbying Laws, Blue Sky laws and all applicable US Securities Law are required. Experience with the current and proposed regulatory environment (SEC, CFTC/NFA, FINRA). Experience with US and Cayman Anti-Money Laundering Laws is a plus. 15+ years of relevant work experience preferably in private markets and asset management and people leadership experience are required for this position. The Dynamic Global Private Equity Company offers a very competitive salary, excellent bonus, benefits, and equity. If you are qualified for this position, please email your resume to Director, mala.saraogi@roberthalf [dot] [com] for immediate consideration!

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