Senior Compliance Lead, RIAs & Private Funds
Pennington Partners & Co.
Pennington Partners is seeking a Senior Compliance Officer to oversee day-to-day compliance operations, maintain policies, and manage regulatory risk for an investment management firm serving HNW clients. The role requires deep regulatory knowledge of RIAs and private funds, including SEC, CFTC/NFA rules, and capital-raising compliance. Collaboration with Legal Director/Chief Compliance Officer is essential, with a strong emphasis on training and program oversight. #J-18808-Ljbffr Pennington Partners & Co.
Vacancy posted 3 days ago
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