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Compliance Officer

Taylor Root

A leading alternative investment manager is seeking a Compliance Officer to join its growing team. This role has a significant marketing review component and offers the opportunity to work closely with capital raising, investor relations, legal, and senior business leaders across a dynamic private markets platform. Key Responsibilities Lead the review and approval of marketing materials including pitchbooks, DDQs, investor communications, presentations, and social media content Serve as a key advisor on the SEC Marketing Rule and private fund marketing activities Support and enhance the firm's distribution and capital markets compliance programs Manage regulatory filings and reporting obligations, including Form ADV and Form PF Draft and enhance compliance policies, procedures, and controls Conduct compliance testing, monitoring, and training initiatives Partner with business stakeholders on new products, growth initiatives, and regulatory matters Monitor regulatory developments and help implement compliance best practices Qualifications 4+ years of compliance experience at an asset manager, private fund adviser, or alternative investment firm Must have significant marketing review experience Strong knowledge of the SEC Marketing Rule and its application to private fund marketing Experience reviewing investor-facing materials, DDQs, and fundraising-related communications Bachelor's degree required; advanced degree a plus Strong communication, organizational, and project management skills #J-18808-Ljbffr

Vacancy posted 2 days ago
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