Audax Group is a leading alternative investment manager with offices in Boston, New York, San Francisco, and London. Since its founding in 1999, the firm has raised over $38 billion in capital across its Private Equity and Private Debt businesses. With more than 400 employees and over 160 investment professionals, the firm is a leading capital partner for North American middle market companies. For more information, visit the Audax Group website www.audaxgroup.com.

The Compliance Officer will support all aspects of Audax Group’s compliance program.  Reporting directly to the CCO, the Compliance Officer will work with members of the Audax Group Legal, Investor Relations, Finance, IT, and Investment teams, with clear visibility to senior management.

 

RESPONSIBILITIES:

  • Work closely with the Audax Private Equity investor relations team to create, review, and approve marketing materials and investor communications for multiple product lines
  • Manage Form ADV Parts 1 and 2, Form PF, and other filings
  • Develop, test, and enforce compliance policies and procedures
  • Monitor investment activity against side letters, investment guidelines, restrictions, disclosures, and regulatory requirements
  • Research securities laws and assist in the drafting of policies and development of procedures related to new rules and regulations
  • Work with various business unit representatives to incorporate compliance requirements into business processes
  • Assist with developing new policies, procedures, and technological upgrades to meet increasing regulatory demands and growth in the business
  • Conduct annual 206(4)-7 compliance review and prepare annual review memo
  • Lead training initiatives including creating and delivering employee compliance training
  • Other ad hoc projects and special tasks related to compliance matters, as needed

 

REQUIREMENTS/QUALIFICATIONS:

  • BA or BS degree required
  • JD or other advanced degree or professional designation (e.g. CPA, CFA) preferred
  • 5+ years of compliance experience within the finance space, preferably with private fund advisor or private equity experience
  • Professional maturity and ability to speak with all levels of management
  • Knowledge and experience with compliance testing and marketing material review desired
  • Ability to work independently and alongside a team is required, as well as a willingness to communicate actively to coordinate workload, priorities, initiatives, and regulatory interpretations
  • Comfortable working in a fast-paced environment, with a keen sense of prioritizing workload and time sensitive projects; strong attention to detail and organizational skills
  • Motivated self-starter with a willingness to “roll up your sleeves” and identify opportunities for enhancement
  • Ability to communicate clearly and effectively in a written and oral manner
  • Consensus builder with demonstrated self-awareness, humility, and ability to learn and adapt
  • Ability to balance regulatory and policy standards along with practical business perspective
  • Strong attention to detail, analytical, and issue-spotting skills
  • Ability to build effective business relationships with partners throughout the organization and external to the organization
  • Flexibility and a willingness to take on new and varied projects outside of silos
  • Ability to be 4 days in office with some flexibility as needed.

This job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee. Duties, responsibilities and activities may change or new ones may be assigned at any time with or without notice. 

Audax Management Co. is an equal opportunity employer.

 

Please note that Audax Group and its affiliated entities do not accept unsolicited resumes from a third-party recruiting agency not currently under a signed agreement. Any unsolicited resume that is sent to directly to Audax Group or one of its affiliated entities, or its employees, including those submitted to hiring managers by a third-party recruiting agency not currently under a signed agreement, will be considered property of Audax Group. If a third-party recruiting agency submits a resume without an agreement, Audax Group or its affiliated entities explicitly reserves the right to pursue and hire those candidate(s) without any financial obligation to the third-party recruiting agency. Any third-party recruiting agency should contact either a member of the Talent Acquisition or Human Resource team at Audax Group, in conjunction with a valid, fully executed contract for service based upon a specific job opening.

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