Compliance Officer

Compliance Officer (New York, NY): Our client is a well-established alternative asset management firm with approximately $8b in AUM is seeking a dedicated Compliance Officer to join its lean team. The firm has a more than 20-year track record and invests across multiple alternative strategies. This is an excellent opportunity for someone who enjoys working in a fast-paced, entrepreneurial environment and is interested in gaining exposure across multiple investment strategies. The Compliance Officer will interact with colleagues across investment, investor relations, operations, legal, and other functional areas. The position offers meaningful ownership of core compliance workstreams and direct exposure to the General Counsel and Chief Compliance Officer.

Responsibilities include:

• Assist with the preparation of regulatory filings, including Form ADV and Form PF
• Support compliance with the SEC Marketing Rule and other regulatory obligations in the United States and United Kingdom
• Review complex marketing materials, investor communications, and other investor relations documents
• Provide compliance and regulatory guidance to investment professionals and other internal stakeholders
• Coordinate the review of nondisclosure agreements with external consultants and service providers
• Conduct compliance monitoring and testing
• Manage day-to-day relationships and activities involving compliance-related service providers
• Assist with the administration of the firm’s cybersecurity, information security, and artificial intelligence governance programs
• Monitor compliance with internal policies and procedures
• Assist with the development and delivery of compliance training
• Support additional regulatory, operational, and compliance-related projects as needed

Qualifications:

• Approximately 4+ of compliance experience within an investment adviser, alternative asset manager, financial institution, law firm, or consulting firm
• Knowledge of the Investment Advisers Act of 1940 and the regulatory framework applicable to registered investment advisers
• Experience with regulatory filings, marketing review, compliance testing, or related compliance program responsibilities
• Self-starter and independent thinker with a strong work ethic
• Proactive and comfortable working both independently and collaboratively
• Bachelor’s degree required; JD is a plus