Investment Adviser Compliance Officer recruitment
Company Overview:
Hamilton Lane is a private, independent firm providing private equity investment management to investors around the world.
With approximately $23 billion in discretionary assets under management along with oversight of an additional $135 billion in advisory assets (as of 31 March 2012), Hamilton Lane is one of the largest allocators of private equity capital in the world. Our firm manages capital exclusively in the private equity asset class through two main business lines: customized strategies including separate accounts and advisory services, and Specialized Products, including funds-of-funds, secondary funds, co-investment funds, Taft-Hartley funds and fund administration services.
Hamilton Lane is headquartered outside of Philadelphia, Pennsylvania. Our 190 employees work in 11 offices throughout the U.S., Europe and Asia. We leverage our global resources to provide exceptional client service, local market insight and unique investment opportunities.
Our global, sophisticated client base includes public and corporate pension funds, sovereign wealth funds, Taft-Hartley funds, financial institutions, insurance companies, foundations, endowments and high net worth individuals. Our clients include a number of the world’s largest institutional investors, as well as many mid-sized and smaller institutions.
Job Description:
The candidate must have experience in the daily compliance functions of an SEC-registered investment adviser with significant experience in the review of marketing and advertising materials and Code of Ethics procedures. Candidate will assist in creating, testing and revising procedures to ensure that the firm is in compliance with applicable laws and regulations. Candidate must be with familiar the Investment Advisers Act of 1940 and related SEC regulations. Candidate will assist in preparing for SEC examinations and coordinate with internal groups in the collection of audit requests. Candidate will report to our Director of Compliance.
Qualifications:
- BA/BS and at least 3-6 years of compliance experience, or equivalent combination of training and experience.
- Broad understanding of investment adviser industry, ideally with a focus on private equity.
- Proven communication and analytical skills.
- Proficient with Microsoft Office applications.
- Must be proactive, self-starter and able to interact with people who have varied personalities and work styles.
Preferred:
- Knowledge of foreign regulators / investment adviser regulations (FSA, SFC)
- Experience with electronic compliance programs (Financial Tracking)
- Internal audit background or previous experience working for the SEC
We offer a comprehensive benefits package which includes: Medical, Prescription, Vision, Dental, Paid Time Off, 401k, Revenue Sharing, Short Long Term Disability, Life, Tuition Reimbursement and Flexible Spending Accounts.
We are an Equal Opportunity Employer. All qualified applicants will be considered for employment without regard to their race, religion, ancestry, national origin, sex, sexual orientation, age, disability, marital status, domestic partner status, or medical condition. As a registered investment adviser, our employees may be subject to certain limitations on political contribution and personal investment activities.