- Assist the CCO with implementing and maintaining a comprehensive compliance program in line with industry best practices and regulatory requirements.
- Evaluate the firm's policies, procedures, and controls to address potential compliance risks associated with the company's operations and investments.
- Stay abreast of evolving regulatory changes and developments in the private equity industry to ensure the company's compliance practices remain up-to-date.
- Serve as a point of contact for regulatory agencies and external auditors regarding compliance matters.
- Work with the firm's external consultant to establish a robust compliance monitoring and testing program to proactively identify and address compliance risks.
- Correspond with fund counsel on compliance matters and issues that may arise for the firm, its affiliates, or the funds.
- Involvement in SEC reporting and filing process led by the CFO/CCO.
- Participate in the annual compliance review and risk assessment process.
- Serve on the firm's Compliance Committee.
- Provide support to the CCO as needed.
- Bachelor's degree required. Advanced degree preferred.
- Proven experience of at least 10 years in a compliance, legal and/or finance role within the private equity industry or a related financial services sector. Legal background preferred.
- In-depth knowledge of relevant regulatory bodies.
- Strong understanding of private equity investment processes and compliance challenges in the industry.
- Excellent analytical and problem-solving skills, with a data-driven approach to decision-making.
- Exceptional interpersonal and communication skills, with the ability to effectively communicate with stakeholders at all levels.
- Demonstrated ability to lead and inspire teams to achieve the firm's compliance objectives.
- Ability to adapt to a fast-paced, dynamic environment and manage multiple priorities effectively.
- Experience leading and developing staff.
Director of Compliance - San Mateo, United States - Bertram Capital Management
Description
Bertram Capital is a private equity firm targeting investments in lower middle market companies. Since its inception in 2006, the firm has raised over $3B of capital commitments. Bertram has distinguished itself in the private equity community by combining venture capital operating methodologies with private equity financial discipline to empower its portfolio companies to unlock their full business potential. This approach is unique in that Bertram is not singularly focused on achieving its investment returns through financial engineering and the extraction of near-term cash flow. Instead, Bertram focuses on reinvestment and technology enablement to drive growth and value through digital marketing, e-commerce, big data and analytics, application development and internal and external platform optimization.
Visit for more information.
Location: Onsite 3 days per week in Foster City, CA.
Must live within 30 miles of 950 Tower Lane Foster City, CA 94404
Position Description
Bertram Capital is seeking a Director of Compliance to oversee the implementation of a comprehensive compliance program. This role will support the CCO and bring industry leading knowledge and experience to our firm.
Responsibilities:
The expected salary range for this position is: $200,000- $250,000 total annual compensation. Offered salary may be based on a variety of factors including skills, experience, and qualifications for the role. Other compensation includes carried interest/profit sharing.
Comprehensive medical, dental, and vision benefits are provided at no cost to the employee. We offer a generous 401K match as well as a "take what you need" PTO policy. Other perks include: cell phone stipend, WFH allowance on qualified expenses, engaging team events and holiday parties.
If hired, employee will be in an "at-will position" and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.
Diversity, Equity, and Inclusion
At Bertram Capital we value and celebrate the many perspectives that arise from a variety of cultures, genders, religions, national origins, ages, abilities, socioeconomic status and sexual orientation. Our commitment to Diversity, Equity and Inclusion (DEI) ensures that Bertram is a place that attracts, grows, and promotes top talent from all backgrounds.