Job Description

Our client is an alternative asset management, due to growth they are seeking a Compliance Officer to lead and enhance its compliance initiatives.

This is a high-impact role that offers the opportunity to shape and strengthen the firm’s compliance framework while working alongside professionals in marketing, technology, and investment management.

Your role:

• Develop, implement, and oversee the firm’s SEC compliance program, ensuring best practices are met and exceeded.
• Draft, enhance, and enforce compliance policies and procedures, ensuring full alignment with SEC, CFTC/NFA, and FINRA regulations.
• Review and optimize the firm’s compliance control structure to mitigate risks and maintain regulatory integrity.
• Evaluate all marketing, advertising, and investor service-related materials to ensure compliance.
• Handle all regulatory filings and serve as the primary liaison for SEC exams and inquiries.
• Conduct and oversee AML/KYC checks, including supervision of third-party administrators.
• Maintain legal agreements with third-party vendors and collaborate with outside counsel on compliance-related legal matters.
• Work closely with investment, operations, and technology teams to implement compliance solutions seamlessly.

Qualifications

• 5+ years of SEC/RIA compliance experience, with at least 3 years in a leadership role.
• Bachelor’s degree required; Juris Doctor (JD) preferred.
• Extensive experience in the hedge fund/private fund or asset management industries.
• In-depth knowledge of the Investment Advisers Act of 1940 and SEC regulations.
• Strong leadership and project management skills, with the ability to drive execution in a fast-paced environment.
• Ability to manage multiple projects, set priorities, and collaborate with stakeholders across the firm.

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