Senior Compliance Counsel
Essential Duties and Responsibilities:
Point person to work closely with the Chief Compliance Officer to manage our compliance program.
- Oversee preparation of updates of Form ADV and Form PF for our private funds.
- Prepare and update compliance manuals and training materials.
- Gather and maintain compliance certifications and otherwise implement compliance procedures and work closely with the Chief Compliance Officer to resolve outstanding issues.
- Maintain compliance logs, control room procedures and other procedures relating to material non-public information.
- Work closely with Chief Compliance Officer to develop new procedures as needed.
- Act as point of contact for regulators and auditors.
- May work on MA documentation, lending arrangements and finance projects or other projects as directed.
- Constantly strive to improve processes and procedures.
Desired Skills Experience
Required Qualifications:
- A licensed attorney with 7-14+ years relevant compliance experience.
- Must have experience with "Investment Advisers Act" / 40 Act and Form ADV.
- Must have experience working with or for SEC, FINRA or similar regulators.
- Experience working with regulated financial institutions a plus.
- Experience with Mergers and Acquisitions, secured lending and/or bankruptcy a plus.
- Must be organized, experienced in multi-tasking and able to work independently in a very fast paced environment.
- Proven to be a hardworking, hands-on team player.
- Comprehensive verbal and written analytical / problem solving, communication, negotiation, interpersonal training and presentation skills are essential.
- Excellent computer skills a must.
Additional Information needed from finalist candidates:
- At least five references.
- Published articles or sample work, if available
Patriarch Partners, LLC, is an investment firm and holding company managing 75 companies with annual revenues in excess of $8 billion. Patriarch is dedicated to saving American manufacturing jobs by saving American companies that have fallen from economic favor. Since inception, the Patriarch family of funds has bought more than 150 companies, and in so doing have saved over 250,000 jobs. Patriarch’s platform includes a broad range of industrial concerns including Dura Automotive, Oasis Water and American LaFrance, in addition to iconic American brands such as Rand McNally, MD Helicopters, Stila Cosmetics and Spiegel Catalogs. Patriarch has become the largest woman-owned business in America with companies in its platform providing employment to more than 120,000 persons. For more information, please go to www.patriarchpartners.com.
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