Compliance Officer, Private Investments

New York, NY


Administer the Private Investments compliance program through execution of established controls.


Manage the Private Investments restricted list.


Ensure integrity of the information barrier between the Private Investments & Ventures business and the larger organization.


Liaise with other compliance teams on overlapping areas of responsibility (e.g., oversight over fund-raising and employee personal trading) and firm-wide projects that impact Private Investments and Ventures businesses.


Oversee use of expert networks by Private Investments and Ventures investment professionals.


Ensure adherence to proper expense allocation and valuation standards.


Conduct annual compliance policy reviews.


Produce and deliver training on key policies and procedures.


Advising the Private Investments and Ventures teams on compliance with policies and securities rules.


Head of surveillance for the Private Investments Group.




4-7 years’ experience in compliance in private equity and/or hedge funds or a control room at a multi-faceted financial services company.  


Demonstrated ability to design compliance controls through understanding of regulatory expectations, industry best practices as well as impact on the business.


Experience in conducting and implementing surveillance programs  


Keen sense for identifying and mitigating conflicts of interest.  


A self-starter who embraces responsibility and can manage their own time.


An excellent communicator, able to build key relationships both internally and externally.  


Ability to articulate clearly (verbally and in writing) views, analysis and conclusions reached.


High level of personal organization with demonstrated ability to manage projects such as technology enhancements and policy development.

Contact Details:

Steven Cebel

914-524-0301 ext 126