KEY PURPOSE:

Working with the COO, Private Wealth, the Legal Counsel, Private Wealth, the firm’s New York-based Compliance Manager and others, you will develop strong working relationships with all key stakeholders to build and deliver best-in-class regulatory compliance arrangements for the Coller Capital group’s Private Wealth Secondaries Solutions (PWSS) business, on a global basis. While dedicated to PWSS matters, you will functionally be part of the group-wide Legal & Compliance department.

KEY TASKS AND RESPONSIBILITIES:

Your role will have a broad remit. You will be responsible for developing, implementing and operating compliance programs and arrangements for the design, governance, marketing and distribution of PWSS products, focusing on systems and controls meeting the requirements and expectations of all applicable regulators.

In particular, you will (1) ensure that the regulatory compliance and AML functions of the dedicated US advisory entity for PWSS are operated consistently with sound industry practice to provide effective oversight of all activities of this entity and (2) work closely with all internal and external stakeholders – including the external broker-dealer appointed as US distributor – to ensure effective compliance at the level of PWSS product structures. You will further be responsible, together with other members of the global Legal & Compliance function, for ensuring that the group’s other investment management and advisory entities used for PWSS activities and products continue to comply with all applicable laws and regulations.

In fulfilling these responsibilities, you will be required (among other things) to:

• Assist with onboarding and ongoing reviews of investors and service providers;

• Contribute to the design and operation of the group’s global compliance policies/procedures and monitoring/testing plans, ensuring that review procedures are risk-based, proportionate and effective;

• Render expert regulatory advice to other members of the PWSS team and professionals across the Coller Capital group;

• Produce high-quality compliance reports and updates for PWSS senior management and the governing bodies of group companies;

• Monitor developments in US (and other applicable) laws and regulations, assess the potential impact on the group’s PWSS business and make recommendations for appropriate changes; and

• Serve as a primary point of contact for governmental and regulatory agencies in relation to PWSS activities and products.

QUALIFICATIONS AND EXPERIENCE:

Essential

• Strong degree in a relevant field from a recognised university or business school

• 7-10 years of relevant experience within an investment adviser, another financial institution or a relevant service provider, with a longstanding focus on private wealth products and their marketing/distribution in multiple markets (including Canada and Latin America)

• In-depth knowledge of the Investment Advisers Act and other relevant laws and regulations

• Familiarity with private equity transactions and fund lifecycles

• Track record of interaction with, and reporting to, financial regulators, notably the SEC

• Series 24, FINRA designation

Desirable

• Track record as a compliance officer within another reputable investment adviser or other financial institution

• Familiarity with different fund structures and regimes, in particular registered investment companies and equivalent structures abroad

• Familiarity with licensing, registration or similar requirements in key international jurisdictions (Luxembourg, Singapore, Japan, Australia, etc.)

• Experience working within a secondaries/fund-of-funds environment or with private credit/debt funds

• In-depth experience dealing with transfer agents, custodians, fund administrators, depositaries, and other third-party service providers

• Experience with company secretarial work

• Law degree/qualification or accounting qualification

COMPETENCIES (key behaviours and aptitudes):

• Excellent interpersonal skills; ability to create, develop, and maintain strong business relationships with internal and external stakeholders

• Ability to work collaboratively in a growing, fast-paced environment and manage multiple priorities within tight deadlines

• Ability to take responsibility for significant areas of work and deliver results with minimal supervision, showing an accountable and proactive approach

• Ability to assimilate and adapt quickly to new circumstances, requirements, and concepts

• Ability to problem solve and bring solutions to influence decision-making

• Ability to identify efficiencies and work collaboratively to drive change

• Positive attitude, placing value on and contributing to a collaborative and supportive team culture

• Excellent attention to detail

Pay range
$200,000 - $275,000 annualised salary, offers will be based on experience, education and skill set.

Coller Capital is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We consider qualified applicants without regard to race, colour, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status. We are dedicated to complying with all applicable laws of the respective jurisdiction in which we operate.

Please let us know if we can make any reasonable adjustments at interview in order to fully support and promote your talent.