The Association of Corporate Counsel (ACC) is the world's largest organization serving the professional and business interests of attorneys who practice in the legal departments of corporations, associations, nonprofits and other private-sector organizations around the globe.
An Independent global infrastructure investment manager with a focus on utilities, energy & telecom is seeking a Compliance Manager for their Miami office reporting directly to the CCO.
Some responsibilities include:
o Serve as systems administrator for various compliance tracking and training systems, such as ComplySci, TRACE, etc.; be the Company relationship leader to various compliance vendors
o Coordinate training and maintain training logs and records
o Periodically review, approve and audit access persons' reporting of personal securities transactions, political contributions, etc. and review the same quarterly with the CCO
o Assist the Chief Compliance Officer ("CCO") with administering the annual compliance review, mock audits, expense allocation review, and other regulatory and operational compliance reviews
o Assist the CCO with responses to regulatory bodies, including SEC audits
o Conduct SEC compliance onboarding training for new hires, as well as training for vendors and business partners as needed
o Maintain compliance documentation and policies
o Assist the CCO and General Counsel ("GC") with compliance due diligence for deals
o Assist Legal and IT on reviewing and implementing cybersecurity and privacy systems, policies and procedures
o Assist in preparing and reviewing Form ADV, Form PF, BEA requests and any other regulatory or reporting filings as needed
Ideally, candidates will have experience at a private equity firm or a law firm's corporate securities or funds practice, with knowledge of the Investment Advisors' Act and other securities regulations related to private equity funds. A qualified candidate must possess seasoned judgement, be detail-oriented and methodical, and have impeccable integrity. The ideal candidate will have a J.D. and be a member of the bar in Florida – but JD is not required.
About The PeterSan Group
In 1994, Sandrea Friedman, Peter Goldfeder and Peter Gosule founded The PeterSan Group, one of the nation’s premier legal search and consulting firms. We are a full service legal search firm, placing attorneys in all facets of the legal market. Our team of experienced legal search consultants services all our clients’ hiring needs in a professional and timely manner.
We work closely with our clients to establish a comprehensive understanding of the particular needs of every search. We then conduct each search in a highly confidential and professional manner. Our comprehensive and state-of-the-art database enables us to efficiently match the most qualified attorneys for each search. For attorneys, that means we provide individualized attention and offer career alternatives that make sense for that person’s particular goals. For employers, that means we will introduce a select group of attorneys who are truly what you’re looking for.
The PeterSan Group has unmatched depth in in-house placement. From General Counsel, Chief Intellectual Property Counsel, Chief Compliance Counsel, and Heads of Corporate and Litigation to more junior searches, we have helped hundreds of attorne...ys make the transition to in-house practice.
Searches are conducted on a retainer or contingency fee basis. Our clients include leading law firms worldwide as well as financial institutions, investment banks, consumer product, aerospace, chemical, healthcare, pharmaceutical, entertainment, new media, and other Fortune 500 companies.
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