A leading alternatives investment firm that invests across hedge, private equity, credit is hiring a Compliance professional to support the Chief Compliance Officer & General Counsel as well as Chief Operating Officer across primarily compliance as well as operational workflows. This is a hands-on role with broad exposure, ideal for a junior–mid professional who genuinely wants to build a career in investment management compliance and work in a close knit, collaborative team.
Key Points:
- Partner with the CCO/GC on day-to-day compliance program tasks: regulatory filings, ComplySci administration, employee trading/Code of Ethics, restricted list and expert-network compliance.
- Maintain the compliance calendar; review marketing materials; help prepare/submit periodic filings (e.g., Form ADV and related items).
- Assist with account openings/updates and other onboarding tasks.
- Support operational/admin needs across investor relations, marketing, office management, and HR as needed.
- (As bandwidth allows) help with confidentiality agreements, basic entity/Account setup paperwork, and KYC/AML coordination.
Qualifications:
- 1–5 years of relevant experience working in compliance at a fund/administrator, compliance consultant or paralegal in house or at a law firm.
- Eager to be hands-on and continue to learn.
- Demonstrated interest in compliance
- Strong organization, follow-through, and judgment; comfortable with occasional late hours around deadlines.
- JD a plus but not required. Paralegals transitioning into compliance are encouraged to apply.
- Familiarity with ComplySci or similar tools is a plus.
Compensation Expectations: $100-130K base + bonus