Alternative Asset Manager

Compliance Attorney, Associate Vice President, Washington, DC

Compliance Attorney, Associate Vice President (Washington, D.C.): Our client, a global alternative asset manager with over $50B in AUM, is seeking a legal and compliance professional to join their growing broker/dealer compliance team in DC. This new hire will be reporting to the Principal, supporting the firm’s global fundraising efforts from a legal and compliance perspective and maintaining the Broker Dealer’s compliance program. 


Key Points: 

  • Opportunity to work amongst a bright, dedicated, and committed team who are also incredibly nice
  • Organization is huge on promoting from within so this is an excellent role to begin one’s career within a stable, growing entity with the ability to take on larger roles over time
  • Position spans a breadth of compliance responsibilities offering diversity in one’s daily work and offering new challenges for this person to develop professionally


  • Assist with broker/dealer marketing materials review, and Series 24 approval of marketing materials for funds and products across the firm
  • Provide guidance with addressing private placement laws around the world and advising on various business teams 
  • Spearhead all due diligence efforts regarding the use of finders and placement agents, managing policy compliance with Fund Formation, Compliance, Investor Relations Management and Investor Relations
  • Assist with the third-party placement agent engagement process and prepare supporting materials for senior management review
  • Liaise with relevant internal stakeholders and service providers as it relates to supporting all AML/KYC processes
  • Monitor regulatory developments regarding broker-dealer and investment advisor regulatory requirements, and assess impact to firm’s marketing activities
  • Coordinate with IT on compliance technology projects and lead all training initiatives for the firm’s global investor relations platform


  • At least 5 years or relevant compliance experience in a similar capacity; bachelor’s degree AND J.D. are required
  • Knowledge of alternative asset management specifically in private equity is required with an emphasis on broker-dealer and Advisors Act rules and regulations; proven track record of managing and successfully working across multiple groups, along with strong project management skills
  • Excellent project management skills with the ability to multiā€task and effectively work across various groups within a fast-paced environment; flexibility to juggle multiple and changing priorities
  • FINRA Series 7 or 63, and Series 24 licenses required (alternatively, may be obtained within 90 days of employment)
  • Must be comfortable interacting in a professional setting with all levels of personnel; able to respect highly confidential information and work in a confidential environment
  • Active legal license in at least one state or the District of Columbia

Job Reference #1525

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