Compliance Officer - Private Credit/ABF
A growing alternative investment firm is seeking a Compliance Officer to support and enhance its compliance program during a period of continued growth. Partnering closely with senior leadership, this individual will provide regulatory guidance, oversee key compliance activities, and help strengthen the firm's overall control framework. The role offers broad exposure across investments, fund operations, governance, investor communications, and regulatory matters.
Key Requirements
- 5-10 years of compliance experience within alternative investments, private credit, asset-backed finance (ABF), private equity, hedge funds, or investment management.
- Strong knowledge of the Investment Advisers Act of 1940 and related regulatory requirements.
- Experience supporting SEC examinations, audits, regulatory filings, and compliance testing programs.
- Familiarity with Form ADV, Form PF, Code of Ethics administration, and personal trading surveillance.
- Experience reviewing marketing materials, investor communications, and regulatory disclosures.
- Understanding of AML/KYC requirements, governance practices, and compliance risk management.
- Ability to conduct compliance monitoring, risk assessments, and develop practical solutions to regulatory issues.
- Experience partnering with investment, legal, operations, finance, and investor relations teams.
- Strong communication, organizational, and analytical skills with a business-oriented mindset.
- Bachelor's degree required; JD, MBA, CFA, CRCP, or similar credentials are a plus.
- Direct exposure to private credit, direct lending, structured credit, specialty finance, ABF, or other private fund strategies is preferred.
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