Chief Compliance Officer

1 day ago

Singapore Executive Access Full time

P- Posted by
- Paul Zhong- Recruiter My client is an international private equity firm with global presence, due to expansion, they are seeking a senior director with expertise in SEC regulations and strong background working in Private Equity firms to join them in a Global Compliance role. Do note that this role is based in Singapore

You will be required to
- Manage and implement all aspects of the firm's global compliance program, including an internal compliance team and third party compliance analysts.
- Assessing and responding to time-sensitive compliance-related inquiries from the senior leadership team, the legal and compliance team, the investor relations team, the operations team, and the investment team.
- Preparing regulatory filings, including responses to regulatory inquiries and regulatory requests related to portfolio companies and the firm’s global fund platforms.
- Advising on new product development and reviewing IR, advertising, marketing and limited partner communications as well as other externally distributed printed collateral for compliance purposes.
- Managing and administering all employee-facing compliance matters, including compliance training programs, gifts and entertainment, personal trading and account monitoring, code of ethics, anti-corruption, e-communications, outside business and investment activities, political contributions and information barriers.
- Managing all investment and trading compliance, including fund LPA and side letter compliance, fee and expense reporting, affiliated transactions, best execution obligations, conflicts of interest, valuation reporting, expert network, and competitive activities. Advising on governance, financial compliance and compliance with global privacy regulations.

**To qualify for this role, you must possess**
- Prior working experience in a Securities and Exchange Commission (SEC) regulated Private Equity firm
- Strong knowledge of current Securities and Exchange Commission (SEC) regulations
- At least 10 years of experience in Compliance in buy side firm (Be it Hedge Funds or Private Equity)

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