Chief Compliance Officer

• Assist the General Counsel and Chief Compliance Officer in the administration and ongoing enhancement of compliance program.
• Maintain and oversee compliance with the Investment Advisers Act of 1940, and other applicable securities laws and regulations.
• Monitor regulatory developments and evaluate their impact on the firm, recommending and implementing appropriate policy and procedural changes.
• Coordinate and support regulatory examinations, inquiries, and requests from the SEC, and other regulatory authorities.
• Lead the firm’s annual compliance review process, including risk assessments, testing, documentation, and remediation efforts.
• Help foster a culture of compliance throughout the organization.

Regulatory Filings and Reporting

• Oversee the preparation, review, and timely filing of Form ADV, Form PF, and other regulatory filings.
• Partner with legal, finance, investor relations, and operations teams to gather and validate information required for regulatory reporting.

Compliance Policies, Procedures, and Training

• Maintain and enhance the firm’s Compliance Manual, Code of Ethics, and related policies and procedures.
• Develop and implement compliance training programs for employees globally.

Conflicts Management and Fiduciary Oversight

• Identify, assess, and help manage conflicts of interest arising from investment activities, fundraising activities, portfolio company relationships, co-investments, continuation vehicles, and other firm initiatives.

Code of Ethics and Employee Compliance

• Oversee personal trading compliance and administration of the firm’s compliance technology platforms.
• Administer employee certifications, attestations, gifts and entertainment reporting, political contribution monitoring, outside business activities, and related compliance processes.
• Maintain and monitor restricted lists, watch lists, and information barrier procedures.

Marketing and Advertising Reviews

• Serve as the firm’s subject-matter expert on the SEC Marketing Rule (Rule 206(4)-1 of the Advisers Act).
• Review marketing materials (including social media posts) prior to distribution to ensure compliance with applicable regulatory requirements.

Monitoring, Testing, and Risk Management

• Design and execute compliance testing and monitoring programs.
• Manage the firm’s Rule 206(4)-7 of the Advisers Act annual assessment.
• Conduct periodic risk assessments and forensic testing and identify opportunities to strengthen internal controls.
• Manage remediation efforts and track resolution of identified issues.
• Design and administer a compliance monitoring program, with particular focus on identifying risk and conflict areas requiring enhanced oversight.
• Oversee the firm’s use of expert networks and other information-gathering activities.
• Prepare and present at regulatory risk committee meetings.

Vendor and Technology Management

• Develop and execute an operating model that strategically leverages external consultants, service providers, and technology solutions to maximize the effectiveness and scalability of the compliance function.
• Direct and oversee third-party compliance projects.
• Drive the ongoing enhancement of the compliance program through process optimization, automation, data analytics, and emerging technologies, including AI.

• Minimum 10 years of relevant compliance, legal, or regulatory experience.
• Minimum 5 years of experience supporting a registered private equity investment adviser.

Regulatory Compliance and Program Oversight