Private Fund Compliance Officer Job at JCW Group, Westchester County, NY

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  • JCW Group
  • Westchester County, NY

Job Description

Role and Responsibilities

  • Assisting in registering clients as investment advisers with the SEC
  • Preparing policies and procedures, reports, memoranda and other client deliverables
  • Supporting senior consultants with client engagements, including tracking and monitoring, ongoing obligations and preparing for meetings and reviews
  • Assisting with annual compliance reviews, mock audits and SEC examinations
  • Conducting compliance testing, including electronic communications reviews
  • Assisting in the preparation of regulatory filings, including Form ADV, Form PF, Form 13H and Form 13F
  • Reviewing marketing materials
  • Assisting with the onboarding and monitoring of compliance software platforms for clients
  • Participating in client meetings and reviews
  • Assisting in conducting compliance training sessions for clients’ employees
  • Researching compliance issues

Skills & Experience

  • 4-7 years of regulatory and compliance experience relating to hedge funds or private equity funds at a private fund manager, law firm, consulting firm or at the SEC
  • Understanding of the Investment Advisers Act
  • Experience assisting with the development or monitoring of compliance programs
  • Experience preparing regulatory filings or reviewing marketing materials is a plus
  • Must have strong time management skills
  • Strong analytical skills, independence and ability to come up with practical solutions

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