Policies & Procedures Compliance Manager
Policies & Procedures Compliance Manager - Private Equity
Leading Private Equity Investment Firm
Overview
A leading private equity investment firm is seeking a Policies & Procedures Compliance Manager to oversee the development, maintenance, and enhancement of its compliance policy framework. This individual will play a critical role in ensuring compliance policies remain aligned with evolving regulatory requirements and business activities while partnering closely with Legal, Compliance, and business stakeholders.
The ideal candidate will bring significant private equity compliance experience and extensive expertise in drafting, reviewing, interpreting, and maintaining compliance policies and procedures. Candidates with a legal background, particularly those with prior law firm experience, are highly preferred.
Key Responsibilities
- Own and maintain the firm's Compliance Manual and broader compliance policy framework.
- Lead annual compliance policy reviews and updates across the compliance program.
- Draft, review, revise, and implement compliance policies and procedures.
- Monitor regulatory developments and manage compliance policy-related change initiatives.
- Assess and implement updates required as a result of new or changing regulatory requirements.
- Serve as a subject matter expert on compliance policies and procedures relating to:
- Gifts & Entertainment
- Political Contributions (Pay-to-Play)
- Insider Trading
- Code of Ethics
- Employee Compliance Matters
- Provide compliance guidance on the interpretation, application, and ongoing enhancement of policies across the compliance program.
- Partner with Legal, Compliance, and business stakeholders to ensure compliance policies are effectively implemented and maintained.
- Support regulatory examinations, compliance reviews, and broader compliance program enhancements.
Qualifications
- Direct private equity compliance experience required.
- Extensive hands-on experience drafting, reviewing, and maintaining compliance policies and procedures.
- Experience owning and managing a Compliance Manual.
- Demonstrated experience leading annual compliance policy reviews and updates.
- Experience evaluating regulatory developments and implementing resulting compliance policy changes.
- Strong understanding of SEC regulatory requirements and the Investment Advisers Act.
- Exceptional writing, editing, and compliance policy drafting skills.
- Ability to translate complex regulatory requirements into practical compliance policies and procedures.
Preferred Qualifications
- JD preferred.
- Prior law firm experience is a significant plus.
- Experience supporting private equity advisers and private fund managers.
- Experience supporting SEC examinations and regulatory inquiries.
Ideal Background
- Private equity compliance professional with substantial policies and procedures experience.
- Strong ownership of compliance manuals, compliance policy governance, and regulatory change management.
- Experience advising stakeholders on compliance requirements and policy implementation.
- Legal and compliance hybrid backgrounds are especially attractive, particularly candidates who began their careers at a law firm before moving in-house.
- Proven track record serving as a compliance resource on policy interpretation, governance, and regulatory developments.
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your CV and details on file so when we see similar roles or see skillsets that drive growth in organisations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your cv so you can be considered for roles that have yet to be created.
Yes, we help with cv and interview preparation. From customised support on how to optimise your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.