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 calls for accuracy, critical thinking, independent problem-solving, sound judgment, and a strong focus on quality and results. It also requires professionalism and adaptability to client-driven schedules while supporting regulatory examinations and outsourced Chief Compliance Officer functions. The manager oversees client engagements and provides strategic compliance guidance with minimal senior-leadership oversight. The role leads client trainings and mock regulatory examinations, provides hands-on support during SEC and FINRA examinations, tracks regulatory changes, and helps clients develop internal controls and practical responses to complex compliance issues. The manager also mentors junior staff and contributes to business development and operational excellence initiatives. The position offers a hybrid work schedule. The stated salary range is $73,000–$105,000, dependent on experience and location.
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 ensure compliance programs are robust and up to date.
Nice To Haves
- Compliance experience at a registered investment adviser, law firm, or investment consulting firm, or legal practice involving registered investment companies.
- 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.
- Mentor junior staff and foster a collaborative team culture.
- Support firm-wide business development and operational excellence initiatives 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
