U.S. headquartered(global) private equity firm is searching for experienced compliance professional to serve as Deputy CCO! Position can sit in their Los Angeles or Dallas office.

• Bachelor’s degree with a strong record of academic achievement (3.5 GPA and above)
• 10+ years of experience working exclusively in private equity
• Law degree/big law training (funds/IM) is a plus
• Demonstrated knowledge of laws related to U.S. Registered Investment Advisors
• Demonstrated knowledge of X-U.S. laws related to alternative investor regulatory and compliance requirements
• Knowledge of capital markets functionality preferred
• Manage and review regulatory filings (SEC, international, regional licensing and registrations)
• Oversee employee trading and related activities to ensure compliance with firm policies
• Manage internal and external audits and reviews of the firm’s compliance program
• Oversee “know your customer” and anti-money laundering processes and conduct due diligence on potential investors and counterparties
• Draft corporate, partnership and limited liability company resolutions and authorities
• Manage and track entities and director and officer updates
• Work with outside counsel to create and maintain charts of key terms for transactions, financing and employment arrangements
• Review and develop Registered Investment Adviser Compliance Policies and Procedures and Code of Ethics, and assist and identify areas where policies and procedures need to be developed or amended