Compliance Officer, Private Equity Firm
A $3B AUM private equity firm focused on technology investments is seeking a VP-level Compliance Officer to report to the General Counsel/Chief Compliance Officer. This role leads governance and advisory compliance across the firm, partnering with investment, operations, and portfolio value-creation teams to embed a culture of integrity and control. You will enhance and execute the compliance program under the Advisers Act, drive committee governance (e.g., valuation, conflicts, ESG), advise on MNPI and information barriers, oversee marketing and fundraising compliance, and lead monitoring, testing, and training. The ideal candidate combines sound regulatory judgement with pragmatic, business-first guidance suited to a high-growth PE platform. This is a high-visibility role with direct exposure to senior leadership and investment committees.
Requirements
- 5-10 years' compliance experience at a private equity adviser or top-tier law firm/consultancy; technology investing exposure a plus
- Deep knowledge of the Investment Advisers Act, marketing rules, pay-to-play, custody, code of ethics, Form ADV, Form PF, and SEC exam readiness
- Proven governance support: committees, charters, minutes, conflicts management, valuation oversight, and insider lists
- Advisory compliance expertise: MNPI controls, information barriers, expert networks, channel checks, DDQs, side letters, and LP reporting
- Marketing & fundraising compliance, track record substantiation, testimonials/ratings, and placement agent oversight
- Program design: risk assessments, policies/procedures, testing/monitoring, and board/IC reporting
- Exceptional communication and stakeholder management; ability to translate rules into practical guidance
- Bachelor's required; JD or relevant certification preferred
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