Manager - Regulatory Compliance (Alternative Assets)
About The Position
The Manager - Regulatory Compliance (Alternative Assets) analyzes complex compliance issues and develops, implements, and tests compliance programs for clients in the alternative and traditional investment sectors. The role requires accuracy, critical thinking, independent problem-solving, sound judgment, professionalism, and adaptability to client-driven schedules. It also supports regulatory examinations and outsourced Chief Compliance Officer functions. The manager oversees client engagements and provides strategic compliance guidance with minimal senior-leadership oversight. They ensure client deliverables are completed accurately and on time, including annual reviews, regulatory filings, and updates to compliance policies and procedures. The position also leads client training and mock regulatory exams, provides hands-on support during SEC and FINRA examinations, monitors regulatory developments, and helps clients establish internal controls and address complex compliance issues. The manager contributes to team development by mentoring junior staff and supports business development and operational excellence initiatives.
Requirements
- At least 4 years of compliance experience.
- Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
- Familiarity with SEC examination practices.
- Ability to apply regulatory knowledge to guide clients and maintain robust, up-to-date compliance programs.
Nice To Haves
- Compliance experience at a registered investment adviser, law firm, or investment consulting firm, or legal practice relating to registered investment companies.
- Hands-on experience with actual and mock SEC examinations.
- Knowledge of regulatory frameworks and requirements beyond the SEC, including CFTC, NFA, and FINRA.
Responsibilities
- Manage client engagements and provide strategic compliance guidance with minimal oversight from senior leadership.
- Ensure timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures.
- Lead client trainings and mock regulatory examinations.
- Provide hands-on support during SEC and FINRA examinations.
- Monitor regulatory changes and guide clients in developing internal controls and practical solutions to complex compliance issues.
- Mentor junior staff and foster a collaborative team culture.
- Support firm-wide business development and operational excellence initiatives.
Benefits
- Four weeks of paid time off, increasing over time.
- Sick time and paid holidays.
- 401(k) plan with company match, subject to eligibility.
- Medical, dental, and vision coverage.
- Mental health support and additional ancillary insurance plans.
- Paid parental leave.
- Hybrid work schedule.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
