Compliance Officer

Compliance Officer (New York, NY): Our client is a well-established alternative asset management firm with approximately $8b in AUM is seeking a dedicated Compliance Officer to join its lean team. The firm has a more than 20-year track record and invests across multiple alternative strategies. This is an excellent opportunity for someone who enjoys working in a fast-paced, entrepreneurial environment and is interested in gaining exposure across multiple investment strategies. The Compliance Officer will interact with colleagues across investment, investor relations, operations, legal, and other functional areas. The position offers meaningful ownership of core compliance workstreams and direct exposure to the General Counsel and Chief Compliance Officer.Responsibilities include: Assist with the preparation of regulatory filings, including Form ADV and Form PFSupport compliance with the SEC Marketing Rule and other regulatory obligations in the United States and United KingdomReview complex marketing materials, investor communications, and other investor relations documentsProvide compliance and regulatory guidance to investment professionals and other internal stakeholdersCoordinate the review of nondisclosure agreements with external consultants and service providersConduct compliance monitoring and testingManage day-to-day relationships and activities involving compliance-related service providersAssist with the administration of the firm’s cybersecurity, information security, and artificial intelligence governance programsMonitor compliance with internal policies and proceduresAssist with the development and delivery of compliance trainingSupport additional regulatory, operational, and compliance-related projects as neededQualifications:Approximately 4+ of compliance experience within an investment adviser, alternative asset manager, financial institution, law firm, or consulting firmKnowledge of the Investment Advisers Act of 1940 and the regulatory framework applicable to registered investment advisersExperience with regulatory filings, marketing review, compliance testing, or related compliance program responsibilitiesSelf-starter and independent thinker with a strong work ethicProactive and comfortable working both independently and collaborativelyBachelor’s degree required; JD is a plus