Senior Compliance Officer – Alternative Asset Manager

Senior Compliance Officer – Alternative Asset Manager

Representing a well-established and growing alternative asset manager with over $20B AUM, we are proud to be leading the search for a Senior Compliance Officer. 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:

• 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 (Form 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 LP inquiries.
• Oversee code of ethics, including restricted list monitoring and personal trade preclearance.
• 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.

As a specialist Legal, Risk, and Compliance search and recruitment firm, we understand the strategic value this role brings to a scaling investment platform. This position offers the opportunity to help shape the evolution of an in‑house compliance function. This is an excellent opportunity for a hands‑on and collaborative compliance professional.