Director of Compliance

The Firm

Our client is a well-established global alternative investment manager with multi-billion-dollar assets under management. The firm invests across private and public credit markets, with investment teams in North America, Europe and Asia-Pacific. It is known for a collegial, entrepreneurial culture and a disciplined, rigorous approach to investing.

The Opportunity

The firm is hiring an Associate Director or Director to join its Global Compliance team, reporting directly to the Global Chief Compliance Officer. The role helps the firm identify, assess and manage regulatory risk across jurisdictions and business lines.

Responsibilities

Regulatory analysis

• Track and analyze new laws, rules, guidance and enforcement trends affecting investment advisers and alternative managers worldwide.
• Assess how new developments apply across jurisdictions and recommend practical, risk-based ways to implement them.
• Research cross-border regulatory questions on investing, fundraising, marketing and operations.

Compliance program

• Help build and run the firm's global compliance program, including the annual review and ongoing risk assessments.
• Draft and update policies, procedures and controls as regulation changes.
• Contribute to regulatory change and compliance modernization projects.

Business advisory

• Give practical compliance guidance to investment, investor relations, operations, finance, legal and technology teams.
• Evaluate regulatory considerations for new products, fund structures, managed accounts, co-investments and expansion into new markets.
• Over time, take primary responsibility for reviewing marketing and investor materials under the SEC Marketing Rule and cross-border marketing rules.

Filings, exams and governance

• Support regulatory filings and registrations across jurisdictions.
• Help manage regulatory exams, audits and information requests from regulators, investors and counterparties.
• Review disclosure documents, investor communications and DDQs, and deliver employee compliance training.

Technology

• Use data analytics, automation and AI to strengthen monitoring, surveillance and risk assessment.
• Help modernize the firm's compliance infrastructure.

Qualifications

Required

• 5–10 years in compliance, legal, regulatory, consulting or a related function.
• Strong working knowledge of the Investment Advisers Act and investment management regulation.
• Ability to turn complex legal and regulatory issues into clear, practical business guidance.
• Excellent analytical, writing and communication skills, and close attention to detail.
• Able to manage multiple priorities in a fast-paced, collaborative team.

Preferred

• JD or equivalent legal qualification.
• Law firm experience advising investment advisers, private funds, hedge funds, private credit or private equity managers.
• Experience with cross-border regulatory matters and non-US regimes for advisers and private funds.
• Experience working with regulators, outside counsel, investors, administrators and other service providers.
• Experience using AI, automation or data analytics in compliance.