Director of Compliance
Skills
Code Of EthicsCompliance TrainingInvestment ManagementInvestor RelationsManagementRenewable EnergySEC Regulations
What the job involves
The main requirements, responsibilities and hiring steps.
Requirements
- Bachelor's degree in Finance Accounting Business Economics Legal Studies or related field
- 7+ years compliance experience in SEC-registered investment adviser private equity hedge fund asset manager law firm or compliance consulting firm
- Demonstrated experience managing or leading SEC registration for an investment adviser or private fund
- Strong knowledge of the Investment Advisers Act of 1940 SEC regulations and private fund compliance requirements
- Experience preparing and maintaining Form ADV and related regulatory filings
- Familiarity with private equity fund structures fundraising processes and investor due diligence
- Experience working with external counsel auditors and fund administrators
- Strong project management skills with ability to manage multiple concurrent priorities
- Exceptional organizational skills and meticulous attention to detail
- Excellent written and verbal communication skills
- High level of integrity discretion and sound professional judgment
Nice to have
- CRCP
- CPA
- JD
- Private equity experience
- Infrastructure experience
- Energy sector experience
- SEC exam experience
- AML knowledge
- KYC knowledge
- OFAC knowledge
- ESG knowledge
- Compliance tech experience
Day to day
- Lead the firm's SEC registration process and coordinate all related compliance workstreams from planning through completion.
- Develop, implement, and maintain compliance policies procedures internal controls and regulatory reporting practices.
- Partner with executive leadership outside counsel auditors fund administrators and regulators to manage ongoing adviser and private fund compliance obligations.
Hiring process
- Please send cover letter and resume to careers@energytransitioncapital.com