Senior Associate - Regulatory Compliance (Alternative Assets)

Company Description We’re a leading Investor Services group offering end‑to‑end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. Our services are underpinned by a Group‑wide commitment to ESG and best‑in‑class technology, supported by in‑house experts who deliver intelligent solutions through strong client relationships. Job Description This position demands a high level of precision, independent problem‑solving, and critical thinking, with minimal delegation and a strong emphasis on accountability and follow‑through. The role involves developing and testing compliance programs for clients in the alternative and traditional investment sectors, including private equity, hedge funds, and venture capital, while supporting regulatory exams and outsourced CCO functions. What You’ll Do Advise clients on compliance with key U.S. securities laws, including the Securities Act, Exchange Act, and Advisers Act. Assist clients during regulatory examinations by agencies such as the SEC, NFA, and state securities boards. Review marketing materials to ensure they meet regulatory standards and help clients perform ongoing compliance functions such as monitoring trading and communications. Prepare and file required U.S. regulatory documents and create training programs on relevant regulations. Design testing systems, draft policies and procedures, mentor junior team members, and take on special compliance‑related projects as needed. What We Offer A comprehensive benefits package designed to support employees' well‑being and work‑life balance. Generous paid time off, including 4 weeks of PTO that increases over time, sick time and paid holidays, and a 401(k) plan with company match (subject to eligibility). Health benefits including medical, dental, vision, mental health support and additional ancillary insurance plans. Paid parental leave and a hybrid work schedule, promoting both personal and professional fulfillment. The salary for this position will be dependent on experience and location ($70,000‑$95,000). Qualifications Bachelor’s degree and two or more years of relevant compliance experience. Working knowledge of key regulations such as the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA or NFA/CFTC rules. Proficiency in MS Office tools like Excel and Word, and ability to build strong relationships with both clients and colleagues. Dependable, flexible, and responsive to shifting client needs and priorities. Strong organizational, analytical, and communication skills, with the ability to work independently, multitask, and make sound judgments in a fast‑paced environment. #J-18808-Ljbffr IQ-EQ