Manager - Regulatory Compliance (Alternative Assets)
About The Position
This position requires a high level of accuracy, critical thinking, independent problem-solving, and a strong focus on quality and results. The role analyzes complex compliance issues and develops, implements, and tests compliance programs for clients in the alternative and traditional investment sectors. It calls for professionalism, sound judgment, and adaptability to client-driven schedules, while supporting regulatory examinations and outsourced Chief Compliance Officer functions. The manager helps oversee client engagements and provides strategic compliance guidance with minimal oversight from senior leadership. The role also contributes to team development and firm-wide initiatives beyond client work.
Requirements
- At least 4 years of compliance experience, ideally at a registered investment adviser, law firm, or investment consulting firm, or experience practicing law regarding registered investment companies.
- 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 ensure their compliance programs are robust and up to date.
Nice To Haves
- Hands-on experience with actual and mock SEC examinations.
- Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements.
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, and 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.
- Foster a collaborative team culture and mentor junior staff.
- Support firm-wide initiatives, including business development and operational excellence beyond client work.
- Support regulatory examinations and outsourced Chief Compliance Officer functions.
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 benefits.
- Mental health support and additional ancillary insurance plans.
- Paid parental leave.
- Hybrid work schedule.
- Learning and development programs and systems, including PowerU and MyCampus.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
