Compliance and Operations Specialist

Star Mountain Capital • Tampa, FL

42d • Onsite

About The Position

We are seeking a Compliance Operations Specialist to support the Chief Compliance Officer and the Chief Risk Officer in overseeing and enhancing the firm’s compliance program and operations functions across our multi-vehicle platform. This role offers broad exposure to regulatory, governance, and financial reporting controls within a scaling, multi-strategy alternative asset manager.

Requirements

• 2+ years of compliance, regulatory, or legal experience within private credit, private equity, SBIC, BDC, or alternative asset management
• Working knowledge of the Investment Advisers Act
• Experience supporting regulatory exams
• Strong judgement and ability to understand complexities

Nice To Haves

• Additional operational experience within an alternative asset management environment also preferred
• SBIC and/or BDC experience preferred

Responsibilities

• Support the firm’s compliance program under the Investment Advisers Act, SBIC, and BDC regulatory frameworks
• Execute compliance testing and monitoring, document findings and remediation
• Manage regulatory filings (Form ADV, Form PF, FINRA, SBIC and BDC filings)
• Oversee Code of Ethics administration, personal trading surveillance, restricted lists, and MNPI controls
• Support BDC board reporting, affiliated transaction monitoring, and governance processes
• Partner with finance and operations on valuation oversight, financial reporting controls, and ICFR (as applicable)
• Coordinate analytics and research projects across teams, ensuring clear timelines, communication, and execution
• Support initiatives involving credit risk analysis, helping organize data
• Track follow-up requests and action items from leadership, ensuring accountability and timely follow-through
• Prepare and organize materials, summaries, and updates for internal meetings and executive reviews
• Maintain compliance calendar and deliver compliance training across teams

Benefits

• We offer a highly competitive medical, dental, and vision package.
• 50% coverage on monthly gym memberships
• a cell phone stipend
• tuition support of job-related designations and learning and development opportunities
• other bespoke benefits

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed
• Number of Employees: 11-50 employees