Senior Compliance Officer

Our client, a growing consulting firm based in White Plains, NY, is seeking a Senior Compliance Consultant to join their growing firm. The ideal candidate will have a minimum of five years of compliance consulting experience supporting private markets clients, including private equity, private credit, real estate, infrastructure, and other private fund managers. This individual must have a strong track record in drafting and maintaining compliance policies, procedures, and reports. Experience monitoring compliance programs, preparing regulatory filings, and reviewing marketing and investor materials is required. The ideal candidate will have a deep understanding of the Investment Advisers Act of 1940 and the regulatory framework applicable to private fund advisers. This position presents strong opportunities for growth within a dynamic, team-oriented environment and is ideal for a driven professional looking to advance their career in private markets compliance. Responsibilities include: Manage day-to-day client relationships with private markets investment managers, lead regular meetings and calls, and provide ongoing compliance support and regulatory guidance tailored to each client’s investment strategies and operations. Assist with SEC registration for investment advisers and support clients in preparing and maintaining key compliance materials, including policies and procedures, reports, memoranda, regulatory filings, and marketing and investor materials. Participate in annual compliance reviews, mock audits, and SEC examinations. Advise private fund managers on regulatory and compliance matters affecting their businesses and investment activities. Conduct compliance training sessions for client teams, mentor and train junior staff, and monitor regulatory developments impacting private markets firms. Requirements: Minimum of 5 years of compliance experience supporting private markets investment managers or private funds. Extensive experience supporting private equity, private credit, real estate, infrastructure, or other private market strategies, gained through an investment firm, consulting firm, legal practice, or regulatory agency such as the SEC. In-depth knowledge of the Investment Advisers Act of 1940 and its application to private fund advisers. Demonstrated ability to design and manage compliance programs, prepare regulatory filings, review marketing and investor materials, and lead annual compliance reviews. Strong understanding of the regulatory and compliance considerations affecting private markets investment managers. #J-18808-Ljbffr