Compliance Manager

Senior Vice President, Registered Funds Compliance A rapidly growing alternative investment platform is seeking a Senior Vice President to help lead and shape compliance coverage for its expanding registered ’40 Act product business. This is not a maintenance-only compliance role. The selected candidate will have meaningful influence over how the platform grows, partnering directly with Portfolio Management, Product, Operations, Legal, and senior leadership on new fund launches, product structuring, regulatory strategy, valuation and liquidity matters, disclosures, testing, filings, and ongoing fund governance. The role is ideal for a senior registered-funds compliance professional who combines deep technical knowledge with commercial judgment and wants to help build scalable infrastructure within an innovative, high-growth alternatives platform. Responsibilities Provide compliance leadership across registered ’40 Act products, including interval funds, tender-offer funds, and other registered investment vehicles Lead compliance support for new fund launches and material product changes from initial concept through effectiveness and post-launch oversight Advise Portfolio Management, Product, Operations, and Legal on product structure, investment strategies, disclosures, and operating requirements Monitor regulatory developments affecting registered funds and investment advisers, including valuation, liquidity, affiliation, marketing, and related rulemaking Translate regulatory requirements and fund governing documents into practical, scalable policies, procedures, controls, and testing programs Oversee pre- and post-trade compliance testing, portfolio guideline monitoring, exception resolution, and remediation Review registered-fund marketing and communications under SEC Rule 482, FINRA Rule 2210, and related requirements Oversee product-specific obligations, regulatory filings, disclosure monitoring, and trade-error resolution Coordinate compliance reviews of administrators, custodians, auditors, legal counsel, and other third-party service providers Improve the efficiency and scalability of the registered-funds compliance program as the platform continues to expand Provide leadership and development to members of the compliance team Present complex regulatory risks to senior stakeholders and develop practical, business-oriented solutions Qualifications At least 10 years of regulatory compliance experience Strong knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940 Familiarity with the Securities Act of 1933, Securities Exchange Act of 1934, SEC Rule 482, and FINRA Rule 2210 Experience supporting registered-fund launches, ongoing product compliance, testing, disclosures, and regulatory filings Knowledge of valuation, liquidity, affiliation, portfolio guidelines, and registered-fund governance Experience with EDGAR filings, including N-CSR and SC TO-I Prior team-management or senior compliance leadership experience Series 7 and Series 24 required Bachelor’s degree required; JD is advantageous but not required Location Can sit in Greenwich or Manhattan office Compensation Compensation includes a base salary of up to $225,000, plus a discretionary annual bonus and generous equity options. #J-18808-Ljbffr Atlas Search