Alternative Asset Manager

Fund Attorney & Compliance Officer, New York, NY

Fund Attorney & Compliance Officer (New York, NY): Our client, a global alternative asset manager with over $50B in AUM, is seeking an experienced legal and compliance professional to join their growing team in NYC.  This new hire will be reporting to the Chief Compliance Officer, handling all legal and compliance matters that pertain to the firm’s regulated funds including developing and incorporating new strategies and funds.


Key Points:

  • Opportunity to work amongst a bright, dedicated, and committed team who honor a collegial environment 
  • Organization is big on promoting from within and this role presents the opportunity to get involved in all areas within legal and compliance
  • Newly createdposition within the organization offer a ton of visibility and ability to make an impact


  • Implement and maintain the compliance program, advise on the allocation of investments and advising on compliance matters; manage regulatory reporting and fillings while preparing quarterly and annual compliance reports 
  • Draft, review and conduct regulated policies and procedures; advise investment professionals on 1940 Act compliance
  • Coordinate with the firm’s CCO and other internal legal and compliance professionals on SEC regulatory inspections; serve as a compliance liaison with the legal and compliance teams in other office locations
  • Maintain books and records for the firm’s regulated fund platform; develop and implement compliance training on relevant compliance policies and procedures 
  • Assist with reviewing and approving marketing materials; coordinate with internal audit teams as it pertains to the firm’s regulated funds


  • 5+ years of relevant compliance experience within an asset manager, law firm or regulatory consultant
  • JD required with an active legal license 
  • Knowledge of U.S. securities laws (Investment Company Act of 1940) required; strong understanding of credit asset management is meaningful
  • 40 Act Fund experience in the past 1-3 years, is necessary
  • Ability to comprehend and apply other applicable laws and regulations; excellent organizational skills with a proven ability to multi-task while working both autonomously and within a collaborative environment
  • Must be able to effectively identify issues and communicate to other relevant personnel; ideally a self-starter mind-set who’s comfortable interacting with various personalities 

Job Reference #1534

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