Senior Compliance Associate

Our client, a leading investment management firm, is seeking a highly motivated and experienced Senior Compliance Associate to support and enhance its global compliance program. This individual will play a key role in ensuring adherence to regulatory requirements while partnering closely with investment, legal, and operational teams across the organization.

Key Responsibilities

• Develop, implement, and maintain compliance policies and procedures in accordance with current regulatory requirements, including marketing and related compliance matters
• Create and deliver compliance training and educational materials to business professionals
• Assess regulatory risk through industry research, regulatory developments, and internal analysis
• Review marketing materials, investor communications, due diligence responses, and fundraising documentation from a legal and compliance perspective
• Oversee and support regulatory filings with the SEC, CFTC/NFA, and other international regulatory bodies
• Manage trade restrictions, including monitoring and analyzing potential MNPI, maintaining restricted lists, and clearing trades
• Assist in regulatory inquiries, examinations, and mock audits in coordination with external counsel and consultants
• Support the ongoing development and maintenance of the firm’s compliance program
• Collaborate with investment and operational teams on a wide range of compliance and business matters

Qualifications

• Minimum of 8 years of compliance experience within a hedge fund, private equity firm, financial services firm, compliance consultancy, or as a practicing funds attorney
• Strong working knowledge of the Investment Advisers Act of 1940 and related regulatory frameworks
• Demonstrated experience designing and implementing compliance policies and procedures
• Strong analytical and problem-solving skills with the ability to interpret complex regulatory requirements
• Excellent organizational and project management skills, with the ability to manage multiple priorities effectively
• Exceptional written and verbal communication skills
• Ability to work independently while collaborating effectively across teams
• Proactive, detail-oriented, and able to operate with a high degree of professionalism and discretion

Education

• Bachelor’s degree from an accredited institution required