Compliance Manager; Pathway to CCO

Position: Compliance Manager (Pathway to CCO)
Location: New York

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This range is provided by Atlantic Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$/yr - $/yr

A middle market private equity buyout firm with $1.6B commitments raised to date and currently raising a fourth fund. A Registered Investment Adviser (RIA) seeking an experienced compliance professional to manage its compliance function. This is a high growth position as they expand its fund offerings.

Role and responsibilities

• Support CCO:
  Assist the Chief Compliance Officer with day-to-day compliance functions, ensuring adherence to policies, reporting deadlines, and ongoing regulatory updates.
• Regulatory Monitoring & Reporting:
  Ensure the firm is in compliance with regulations (e.g., SEC, AML, Privacy Regulations, FINRA) and internal policies.
• Documentation & Recordkeeping:
  Maintain up-to-date compliance records, regulatory filings, and necessary documentation (e.g., Form ADV, compliance reports) and maintain Comply Sci system.
• Employee Compliance:
  Ensure staff compliance on all regulatory matters and company policies, including ethical standards, securities reporting and attestations through Comply Sci.
• Internal Compliance Reviews:
  Assist with periodic internal compliance audits, risk assessments, and monitoring of investment activities to ensure adherence to fund policies.
• Employee Onboarding & Offboarding:
  Oversee the onboarding process for new hires, following compliance procedures and firm requirements. Manage offboarding process. Assist CFO with employee term sheets, employment and separation agreements.
• Employee Records & Reporting:
  Maintain up-to-date employee files and records in compliance with company policies and legal requirements.
• Payroll and Benefits Administration:
  Coordinate with external PEO service provider to ensure timely and accurate payroll processing and maintenance of employee benefits program, including health insurance, retirement plans, and other perks.

#43461

Seniority level

• Seniority level Director

Employment type

• Employment type
  
  Full-time

Job function

• Job function Legal

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Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

Child care support

Paid maternity leave

Disability insurance

Student loan assistance

Paid paternity leave

Tuition assistance

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