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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