Hybrid Private Equity and Hedge Fund

Compliance Officer, New York, NY

Compliance Officer (New York, NY):Our client a successful hybrid private equity and hedge fund with north of $18b in AUM, is looking to bring on a motivated and team oriented compliance professional to join their team in NYC. The candidate of choice will take on various compliance duties, providing assistant with improving the overall compliance program for the firm and its affiliates.


Key Points:

  • Business has been actively growing and launching new products; this is an opportunity to be the right hand person to the CCO of a growing business line as a true generalist
  • CCO is eager to teach and allow this new hire to take on as much as possible quickly
  • Firm values internal mobility, growth, and mentorship
  • Extremely competitive compensation, Equinox discount, free lunch and excellent benefits  


  • Organize and maintain corporate governance records across credit fund complex; track regulatory developments related to business development company and small business investment company funds
  • Assist with conducting reviews and tests as it relates to the annual review requirements under Rule 206(4-7 and Rule 38a-1; perform AML reviews of investors and service providers
  • Coordinate with a variety of internal teams on KYC requests and Vendor Verification checklists for credit service providers; assist with Investment Guideline checklists
  • Prepare and coordinate due diligence related to the credit funds issuance of debt or equity; assist with locating and trackingtrading approvals


  • 2 – 4 years of relevant compliance experience within the alternative asset management space; bachelors degree
  • Must possess acute attention to detail and a strong sense of ownership; knowledge and experience with investment management regulatory regimes is ideal
  • Thrives in a collaboration in a highly environment, engages and works effectively with business executives
  • Excellent verbal and written communication skills with the ability to communicate effectively with management; demonstrated ability to meet tight deadlines with an acute decisiveness

Job Reference #1504

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