Rosecliff is a diversified investment management firm based in New York City. We seek to create positive economic impact and long-term value for our investors and portfolio companies. The firm operates multiple investment strategies, including venture capital and private equity. More information can be found at www.rosecliff.com.
Compliance
The compliance officer will be responsible for overseeing the compliance program of the firm.
Specific responsibilities will include:
• Assisting and coordinating with outside counsel and business groups on legal matters relating to capital formation / fundraising and fund related issues with respect to investments / portfolio companies
• Assist in updating and revising of fund offering materials
• Providing transactional support to the investment teams of the businesses above, including support relating to a broad range of investments, structured products and private fund investments
• Assisting in compliance and regulatory matters: SEC registrations, ERISA, and federal, state and international securities laws (including the Investment Advisors Act of 1940, the Securities Act of 1933 and the Exchange Act of 1934)
• Preparing regular reports to the portfolio managers and senior management regarding compliance matters
• Coordinating various SEC and regulatory filings
• Assisting in the review of investor communications and responses to investor inquiries
• Working with external counsel to monitor, and then implement responses to, regulatory developments that impact the businesses
Qualifications & Experience:
• Relevant compliance experience at a top-tier private equity firm, hedge fund, alternative investment manager or investment bank
• Private equity, fund formation, securities laws, and credit/lending experience are a plus
· Venture Capital experience is a plus
• Superior analytic intelligence, engagement and ability to handle complexity required
• Able to distill and synthesize large amounts of information with emphasis on identifying legal, regulatory, compliance, accounting, practical and other issues
• Disposed to think critically and propose business-oriented solutions combining excellent judgement, creativity and technical expertise
• Willing to build and maintain strong relationships/credibility with relevant internal stakeholders, outside counsel, consultants and regulators
• Strong and clear written and verbal communication skills
• Can execute strategy with appropriate urgency and respect for details and complexities
• Can work independently, as well as in collaborative partnership with a team
• Thrives in a fast-paced, rigorous work environment
