Compliance Officer

Job Description

The Opportunity

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Our client, an established alternative investment firm, is seeking an Associate Director to join its Compliance team in New York. This individual will take ownership of several key areas of the firm’s compliance program and serve as a trusted partner to stakeholders across the business.

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The role offers meaningful visibility and the opportunity to help modernize the compliance function through improved processes, automation, and AI-enabled tools. The ideal candidate is business-minded, intellectually curious, highly accountable, and comfortable operating independently in a fast-paced environment.

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Key Responsibilities

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• Own the end-to-end review and approval of marketing and advertising materials, including pitch decks, whitepapers, case studies, and other presentations.
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• Ensure materials comply with the SEC Marketing Rule, FINRA communications standards, and other applicable requirements.
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• Lead the preparation and filing of Form ADV, Form PF, and other required regulatory submissions.
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• Monitor regulatory developments affecting private fund advisers and translate new requirements into practical guidance for the business.
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• Coordinate responses to operational due diligence requests, SEC examinations, and other regulatory matters, including document collection and written responses.
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• Maintain and enhance the firm’s compliance policies and procedures, including updates to the Compliance Manual, disclosures, and regulatory references.
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• Identify and lead initiatives designed to improve the efficiency and scalability of the compliance program.
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• Evaluate and implement AI-enabled tools, automation, and workflow solutions across compliance monitoring and reporting.
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• Partner with Technology, Operations, and other business teams to identify and implement compliance-related technology use cases.
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• Manage compliance requirements for offshore fund vehicles, including board meeting preparation, regulatory reporting, service-provider coordination, ongoing diligence, and new vehicle launches.
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• Oversee applicable lender registration processes, including annual filings and the ongoing maintenance of control-person and fund-vehicle information.
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• Conduct internal testing to assess the effectiveness of the firm’s compliance policies and procedures.
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• Identify potential gaps, escalate findings, and recommend practical solutions to strengthen the compliance program.
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• Support additional projects and cross-functional initiatives based on the Compliance team’s evolving priorities.
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Qualifications

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• Bachelor’s degree required.
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• Approximately 4–8 years of compliance or related experience with a registered investment adviser.
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• Familiarity with private funds and applicable SEC requirements.
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• Strong organizational, analytical, written, and verbal communication skills.
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• Sound judgment and the ability to work independently with limited supervision.
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• Collaborative and service-oriented approach to working with business stakeholders.
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• Ability to manage competing priorities in a fast-moving environment.
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• Genuine interest in technology, automation, and process improvement.
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