Compliance Officer
Our client is a globally established investment management organization known for its sophisticated approach to alternative and traditional strategies. With a strong research-driven culture, advanced technology, and a deep commitment to delivering performance for institutional and retail investors alike, the firm operates across multiple markets and asset classes. Their U.S. registered funds business continues to expand, creating an opportunity for a skilled compliance professional to join a high‑caliber team supporting a robust governance and oversight framework.
About the Role
The Compliance Officer will support the compliance program for the firm's U.S. registered funds and registered investment advisers. Working closely with the Funds' Chief Compliance Officer and senior compliance leadership, this role focuses on monitoring, policy development, regulatory filings, and preparation of Rule 38a‑1 annual reports. The position offers meaningful involvement in cross-functional projects and direct exposure to senior stakeholders.
Key Responsibilities
- Execute ongoing compliance monitoring, including Rule 38a‑1 testing; maintain complete and accurate documentation
- Draft written monitoring reports and testing summaries for senior management and quarterly Board materials
- Contribute to Board deliverables and draft minutes for committee meetings
- Coordinate interviews with internal teams and third‑party vendors as part of 38a‑1 oversight
- Assist in reviewing, preparing, and compiling regulatory filings
- Support new fund registrations and ensure completeness of submissions
- Maintain the adviser and sub‑adviser (15c) documentation library
- Assist with annual compliance reviews and policy drafting, updates, and maintenance
- Review fund marketing materials for regulatory accuracy and alignment
- Monitor emerging regulatory developments and assist in related initiatives
- Collaborate closely with Compliance colleagues on special projects and ad hoc needs
Qualifications
- 4+ years of relevant compliance experience
- Bachelor's degree required
- Strong ability to analyze and interpret regulatory material and produce clear, concise summaries
- Exceptional writing, organizational, interpersonal, and communication skills
- Ability to manage multiple priorities independently and as part of a team in a fast-paced environment
- High attention to detail with strong research and critical‑thinking skills
- Ability to quickly learn and adapt to new systems and platforms
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your CV and details on file so when we see similar roles or see skillsets that drive growth in organisations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your cv so you can be considered for roles that have yet to be created.
Yes, we help with cv and interview preparation. From customised support on how to optimise your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.