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Compliance Manager
We’re hiring a Compliance Manager to join a high-performing investment platform. This is a unique opportunity to work closely with investment teams, trading desks, and senior leadership, playing a critical role in supporting and evolving a sophisticated compliance program.
What You’ll Do:
* Lead compliance oversight for both registered and private fund structures
* Manage key regulatory filings, including Form ADV and Form PF
* Administer Restricted List and MNPI protocols
* Serve as a resource for investment and trading staff on compliance-related questions
* Coordinate responses to investor due diligence requests and regulatory inquiries
* Support internal reviews, testing, and policy development
* Review marketing materials and coordinate with the broader compliance team on committee reporting
* Drive long-term projects aimed at enhancing the compliance framework
Qualifications:
* 8-12 years of compliance or legal experience, ideally within asset management or a related field
* Deep understanding of registered and private funds, including 1940 Act and credit vehicles
* Proven experience with Form ADV, Form PF, and regulatory submissions
* Highly organized and detail-oriented, with strong project management skills
* Exceptional communication and problem-solving abilities
* Comfortable working across teams and handling confidential information with discretion
* Adaptable, proactive, and able to manage competing deadlines
If you're looking for a collaborative and fast-paced environment where compliance is integral to business success, we’d love to hear from you.
Seniority level
* Seniority level
Not Applicable
Employment type
* Employment type
Full-time
Job function
* Job function
Finance and Legal
* Industries
Financial Services and Venture Capital and Private Equity Principals
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Inferred from the description for this job
Medical insurance
Vision insurance
401(k)
Pension plan
Child care support
Paid maternity leave
Paid paternity leave
Student loan assistance
Tuition assistance
Disability insurance
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