Senior Compliance Officer
Senior Compliance Officer – Alternative Asset Management
A well-established and growing alternative asset manager with over $10B AUM is seeking a Senior Compliance Officer to join their team. This newly created role offers the opportunity to work closely with the General Counsel/Chief Compliance Officer and lead key compliance initiatives across U.S. and international operations.
Highlights:
- First fully dedicated compliance hire at a collaborative, high-growth firm.
- High visibility across teams and leadership.
- Hybrid schedule (4 days in-office) with strong work/life balance and competitive compensation.
Key Responsibilities:
- Conduct compliance reviews (e.g., personal trading, investment restrictions, vendor management, social media, political contributions).
- Develop and implement compliance policies, procedures, and testing protocols.
- Prepare regulatory filings (ADV, Form 13F, Form PF).
- Review and update marketing materials and support investor relations on compliance matters.
- Support IR on all compliance matters relating to Client/LP inquiries
- Oversee gift and entertainment reviews and monitor employee trading activity.
- Handle special projects and support broader compliance initiatives.
Qualifications:
- Minimum 5 years of compliance experience in alternative asset management.
- Bachelor’s degree required; JD is a strong plus.
- Strong attention to detail, interpersonal skills, and ability to mentor junior team members.
The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.
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