Our client, a global and diverse investment fund, is seeking a Compliance Officer to join its collaborative and high-performing team. This individual will support compliance efforts across a platform spanning private equity, hedge funds, and broker-dealer activities. The role is designed for a hands-on professional who can operate as a true partner to senior team members and contribute to a strong, firmwide culture of compliance.
Key Points
- Exceptional, team-first culture where compliance is viewed as a business partner and team is highly collaborative
- Strong work-life balance with flexibility and trust-driven environment
- Flat organization with direct access to senior leadership and open communication
- Broad, generalist role with exposure across multiple strategies and opportunity to work on innovative, tech-forward initiatives
Responsibilities
- Partner with investment, legal, and operations teams to enhance compliance frameworks
- Support day-to-day compliance across private funds, registered funds, and broker-dealer activities
- Lead and support annual compliance reviews and assist with regulatory exams and inquiries across investment adviser and digital asset activities
- Maintain and enhance compliance policies and procedures
- Conduct compliance testing, monitoring, and surveillance; track regulatory developments and assess business impact
- Oversee portfolio compliance monitoring, including testing and analysis
- Support compliance training and program initiatives
Qualifications
- 5 – 7 years of compliance or audit experience within the asset management space
- Demonstrated experience operating in a compliance function with understanding of regulatory structure and terminology
- Exposure to multiple strategies or business lines; generalist experience preferred
- Collaborative team player with an assertive, confident communication style
- Proven commitment to a long-term career in compliance
Compensation: $120-150K base; $200-300K all-in
Job Reference #3582502