Compliance Manager (Pathway to CCO)

Get AI-powered advice on this job and more exclusive features. This range is provided by Atlantic Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $250,000.00/yr - $275,000.00/yr A middle market private equity buyout firm with $1.6B commitments raised to date and currently raising a fourth fund. A Registered Investment Adviser (RIA) seeking an experienced compliance professional to manage its compliance function. This is a high growth position as they expand its fund offerings. Role and responsibilities Support CCO: Assist the Chief Compliance Officer with day-to-day compliance functions, ensuring adherence to policies, reporting deadlines, and ongoing regulatory updates. Regulatory Monitoring & Reporting: Ensure the firm is in compliance with regulations (e.g., SEC, AML, Privacy Regulations, FINRA) and internal policies. Documentation & Recordkeeping: Maintain up-to-date compliance records, regulatory filings, and necessary documentation (e.g., Form ADV, compliance reports) and maintain ComplySci system. Employee Compliance: Ensure staff compliance on all regulatory matters and company policies, including ethical standards, securities reporting and attestations through ComplySci. Internal Compliance Reviews: Assist with periodic internal compliance audits, risk assessments, and monitoring of investment activities to ensure adherence to fund policies. Employee Onboarding & Offboarding: Oversee the onboarding process for new hires, following compliance procedures and firm requirements. Manage offboarding process. Assist CFO with employee term sheets, employment and separation agreements. Employee Records & Reporting: Maintain up-to-date employee files and records in compliance with company policies and legal requirements. Payroll and Benefits Administration: Coordinate with external PEO service provider to ensure timely and accurate payroll processing and maintenance of employee benefits program, including health insurance, retirement plans, and other perks. #43461 Seniority level Seniority level Director Employment type Employment type Full-time Job function Job function Legal Referrals increase your chances of interviewing at Atlantic Group by 2x Inferred from the description for this job Medical insurance Vision insurance 401(k) Child care support Paid maternity leave Disability insurance Student loan assistance Paid paternity leave Tuition assistance Get notified when a new job is posted. Sign in to set job alerts for “Compliance Manager” roles. New York, NY $200,000.00-$240,000.00 14 hours ago New York City Metropolitan Area 19 hours ago New York City Metropolitan Area 2 hours ago New York, NY $85,000.00-$100,000.00 16 hours ago Senior Director, Competitive Compliance (Corporate Quality) Financial Crime Compliance Officer – Legal Rules/Regulations, Governance and New Business New York City Metropolitan Area $50,000.00-$65,000.00 19 minutes ago New York, NY $50,000.00-$50,000.00 19 hours ago New York, NY $94,500.00-$105,000.00 13 hours ago New York City Metropolitan Area $190,000.00-$260,000.00 16 hours ago Investment Banking Vice President (or Senior Associate) Restructuring New York, NY $225,000.00-$275,000.00 18 hours ago New York, NY $70,000.00-$87,000.00 13 hours ago Senior Manager, Special Investigations and Insurance Fraud New York City Metropolitan Area $175,000.00-$200,000.00 18 hours ago New York City Metropolitan Area $55,000.00-$65,000.00 19 hours ago Vice President, Chief Compliance Officer Director, Strategic Partner Management - US Government New York, NY $232,000.00-$296,000.00 2 hours ago New York City Metropolitan Area $125,000.00-$180,000.00 20 hours ago Executive Assistant to Private Credit & Special Situations Team New York City Metropolitan Area $120,000.00-$140,000.00 17 hours ago New York, NY $90,000.00-$115,000.00 17 hours ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr Atlantic Group