Senior Compliance Officer

A globally recognized private investment firm with over $170 billion in assets under management is seeking a Senior Compliance Officer to join its U.S. compliance team. With a strong presence across Europe, the Americas, and Asia, the firm is known for its entrepreneurial spirit, employee ownership model, and commitment to delivering exceptional investment performance to a diverse base of institutional clients.

This is an exciting opportunity to be part of a dynamic and collaborative compliance team that plays a critical role in maintaining the firm's high standards of regulatory integrity and operational excellence.

Position Overview:

The Senior Compliance Officer will support the firm's SEC-registered advisory business and contribute to the broader global compliance framework. This role involves hands-on engagement with regulatory filings, policy development, marketing reviews, and cross-functional collaboration. The ideal candidate will be proactive, detail-oriented, and capable of navigating complex regulatory environments with confidence and clarity.

Key Responsibilities:

• Contribute to the design, implementation, and ongoing enhancement of the firm's compliance program.
• Monitor and report on Code of Ethics matters, including personal trading, gifts and entertainment, outside business activities, and board memberships.
• Assist in the preparation and submission of regulatory filings such as Form ADV, Form PF, and other SEC-related documentation.
• Analyze regulatory developments in the U.S. and assist in drafting and updating policies, procedures, and monitoring protocols in response to changes in the Advisers Act, Investment Company Act, and other relevant regulations.
• Review marketing and investor communications for compliance with SEC and FINRA standards.
• Prepare periodic compliance reports for senior leadership, highlighting key metrics, issues, and developments.
• Collaborate with global compliance colleagues to ensure consistency and alignment across jurisdictions.
• Promote a culture of compliance by engaging with internal teams (investment, finance, investor relations, product, private wealth, etc.) and providing guidance on regulatory matters.
• Liaise with external service providers, including legal counsel, fund administrators, and compliance consultants.
• Support the compliance oversight of a newly launched '40 Act Fund, including policy development and operational integration.

Qualifications:

• Minimum of 3 years of relevant experience in a compliance role within an investment advisory or asset management firm.
• Bachelor's degree required; JD or other advanced degree preferred.
• Strong understanding of SEC regulations and the regulatory landscape governing private funds and registered investment advisers.
• Demonstrated ability to manage multiple projects and deliver high-quality work in a fast-paced environment.
• Excellent communication skills and the ability to interact effectively with professionals at all levels.
• High level of integrity, sound judgment, and a proactive approach to problem-solving.
• Commitment to excellence and continuous improvemen