Compliance VP - Private Equity
Position Summary:
We are seeking a highly experienced Compliance Vice President to independently lead and manage the compliance function for our private equity platform. This is an individual contributor role, responsible for overseeing all regulatory and compliance matters without direct reports. The ideal candidate will bring deep expertise in private equity compliance, with hands-on experience engaging with both the Cayman Islands Monetary Authority (CIMA) and the Hong Kong Securities and Futures Commission (SFC).
Key Responsibilities:
- Serve as the primary compliance officer for the firm's private equity operations, ensuring adherence to all relevant regulatory requirements.
- Independently manage regulatory relationships and correspondence with CIMA and SFC, including filings, inspections, and ongoing obligations.
- Develop, implement, and maintain compliance policies and procedures tailored to private equity fund structures and operations.
- Monitor regulatory developments and assess implications for the firm's business activities.
- Provide compliance guidance and support across investment, legal, and operations teams.
- Conduct internal compliance reviews and risk assessments, and report findings to senior management.
- Support fund formation and structuring from a compliance perspective, including AML/KYC obligations and investor onboarding.
- Lead responses to regulatory audits and inspections, ensuring timely and accurate submissions.
- Deliver compliance training and awareness initiatives across the firm.
Qualifications & Experience:
- Minimum of 8+ years of compliance experience, with at least 5 years in a private equity environment.
- Proven track record of direct engagement with CIMA and SFC on regulatory matters.
- Strong understanding of private equity fund structures, AML/KYC regulations, FATCA/CRS, and other relevant compliance frameworks.
- Ability to operate independently and take ownership of the compliance function.
- Excellent communication, analytical, and problem-solving skills.
- Bachelor's degree in Law, Finance, or a related field; professional certifications (e.g., CAMS, CPA, CFA) are advantageous.
FAQs
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