Compliance Officer
Larson Maddox
A growing investment management firm is seeking a Compliance Officer to support a broad range of regulatory, marketing, and advisory compliance initiatives. This individual will work closely with business leaders and serve as a key compliance partner on fundraising activities, product development, and firm-wide regulatory matters. This role will require 5 days onsite in NYC. Responsibilities Provide compliance guidance to investor-facing and business development teams. Review/approve marketing materials, due diligence questionnaires, social media, and investor relations materials to ensure compliance Support regulatory filings, internal controls, and compliance monitoring programs. Draft and enhance compliance policies, procedures, and training materials. Advise on new business initiatives, product launches, and strategic projects. Monitor regulatory developments and help implement practical compliance solutions. Partner with stakeholders across legal, operations, and investment teams. Qualifications 5+ years of compliance experience within investment management, private funds, alternatives, or financial services. Strong understanding of SEC-regulated environments and investment adviser compliance. Experience supporting fundraising, investor communications, and regulatory filings. Ability to manage multiple priorities in a fast-paced environment. JD, MBA, or relevant industry credentials are a plus. #J-18808-Ljbffr
Vacancy posted 2 days ago
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