Private Fund Compliance Director

Position Summary

This role will be responsible for managing compliance with the Investment Advisers Act of 1940, advising on regulatory obligations, overseeing Form ADV and related regulatory filings, and leading all aspects of SEC examination management. The ideal candidate is a strategic, detail-oriented compliance professional with deep knowledge of private fund operations and the regulatory framework governing investment advisers.

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Key Responsibilities

• Lead the design, implementation, and ongoing enhancement of the firm's compliance program for private funds and adviser operations.
• Provide subject matter expertise on the Investment Advisers Act of 1940 and related regulatory requirements applicable to private fund advisers.
• Oversee the preparation, review, and timely filing of Form ADV and other regulatory filings, amendments, and disclosures.
• Manage the firm's response to SEC examinations, including exam readiness, document production, internal coordination, and remediation efforts.
• Develop, maintain, and update compliance policies and procedures to address regulatory requirements and business risks.
• Advise senior management, investment professionals, and operational teams on compliance matters affecting fund formation, marketing, trading, valuation, and investor communications.
• Conduct compliance risk assessments and monitoring activities to identify gaps and strengthen controls.
• Oversee annual compliance reviews and support the delivery of compliance testing and surveillance programs.
• Coordinate with legal, operations, finance, investor relations, and external counsel on regulatory and compliance initiatives.
• Deliver compliance training to employees and promote a strong culture of compliance across the organization.
• Monitor regulatory developments and emerging enforcement trends affecting private funds and registered investment advisers.
• Track and manage remediation plans arising from internal reviews, audits, regulatory exams, or compliance incidents.

Qualifications

• Bachelor's degree required; advanced degree or relevant professional certification preferred.
• 8+ years of compliance, legal, or regulatory experience within private funds, asset management, investment advisory, or financial services.
• Deep expertise in the Investment Advisers Act of 1940 and its application to private fund advisers.
• Strong hands-on experience preparing, reviewing, and managing Form ADV filings and amendments.
• Demonstrated success leading or supporting SEC examinations, including exam preparation, regulator communications, and follow-up remediation.
• Strong knowledge of private fund structures, adviser compliance obligations, and industry best practices. xhyhwjd
• Experience drafting and enhancing compliance policies, procedures, and controls.