Job Description

We are representing a well-established $9billion investment firm in their search for a Deputy Chief Compliance Officer in Seattle, WA this role is second in command to the Chief Compliance Officer

Why Join Us:

• Opportunity to work alongside firms Chief Compliance Officer / Senior Counsel to further develop your exposure and expertise
• Established firm with over $2billion increase in AUM over the past three years
• Company culture of compliance and ethics, with top-down support for the program
• Collaborative team-approach, including social and community events

Responsibilities:

• Reporting to the Chief Compliance Officer / Senior Counsel, you will be responsible for supporting the firm-wide compliance program, including coverage of alternative investments for a global client base which includes public and corporate retirement plans, insurance companies, foundations, endowments, and high net worth individuals
• Assist in implementing, monitoring and updating compliance program in accordance with applicable regulations
• Perform existing and help design and implement new and/or improved testing procedures to evaluate policies and procedures in Code of Ethics and Regulatory Compliance Manual
• Manage employee personal securities trading, political contributions, outside position, gifts and entertainment reporting, attestation and certification events on oversight platform
• Review private fund marketing materials in accordance with Advisers Act Marketing Rule requirements
• Support creation and delivery of compliance-related training for employees
• Assist in managing regulatory examinations or inquiries
• Support the annual compliance program review processes
• Conduct research on applicable regulatory developments
• Maintain and help manage compliance program for investor side letters
• Maintain accurate records of regulatory deadlines, help compile data and information required for completion of regulatory filings, and help ensure timely submissions
• Assist with the review, processing, and management of various fund products and portfolio related legal agreements, NDAs, vendor agreements, and investor communications
• Manage and/or assist with legal and/or compliance projects as necessary

Qualifications:

• Essential Education: Bachelors Degree
• You will bring several years of investment adviser/private investment fund compliance experience
• Also desirable would be exposure to paralegal or legal assistant work currently or earlier in your career

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