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Larson Maddox · 1 week ago

Compliance Officer, Private Equity Firm

New York, NY

Full-time

Onsite

Senior Level

$225K/yr - $275K/yr

5+ years exp

Larson Maddox is a private equity firm focused on technology investments, seeking a VP-level Compliance Officer to enhance and execute their compliance program. The role involves leading governance and advisory compliance, partnering with various teams to foster a culture of integrity and control while ensuring adherence to regulatory requirements.

ConsultingHuman ResourcesRecruitingStaffing AgencyTraining

Hiring Manager

Andrew Hastings

Responsibilities

Lead governance and advisory compliance across the firm

Partner with investment, operations, and portfolio value-creation teams

Enhance and execute the compliance program under the Advisers Act

Drive committee governance (e.g., valuation, conflicts, ESG)

Advise on MNPI and information barriers

Oversee marketing and fundraising compliance

Lead monitoring, testing, and training

Qualification

Compliance experienceInvestment Advisers ActGovernance supportAdvisory compliance expertiseMarketing complianceProgram designStakeholder managementBachelor's degreeJDCertificationCommunication skills

Required

5-10 years' compliance experience at a private equity adviser or top-tier law firm/consultancy; technology investing exposure a plus

Deep knowledge of the Investment Advisers Act, marketing rules, pay-to-play, custody, code of ethics, Form ADV, Form PF, and SEC exam readiness

Proven governance support: committees, charters, minutes, conflicts management, valuation oversight, and insider lists

Advisory compliance expertise: MNPI controls, information barriers, expert networks, channel checks, DDQs, side letters, and LP reporting

Marketing & fundraising compliance, track record substantiation, testimonials/ratings, and placement agent oversight

Program design: risk assessments, policies/procedures, testing/monitoring, and board/IC reporting

Exceptional communication and stakeholder management; ability to translate rules into practical guidance

Bachelor's required

Preferred

JD or relevant certification preferred

Company

Larson Maddox

Larson Maddox is a legal recruitment agency that offers staffing, training, and consulting services.

New York, New York, USA

1001-5000 employees

http://www.larsonmaddox.com

Funding

Current Stage

Late Stage

Leadership Team

Jake Knowlton-Parry

Managing Director - Global Head of Regulatory & Legal

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