Compliance Officer, Private Equity
A growing private equity firm and asset manager is seeking a Compliance Officer to support the firm's growing advisory program. This role is central to maintaining a strong governance framework across private equity, credit, insurance‑related strategies, and other alternative investment products. The ideal candidate brings a deep understanding of federal securities laws, a strong advisory mindset, and the ability to manage multiple workstreams in a fast‑moving environment.
You'll help shape and maintain the investment adviser compliance program, working closely with investment, operations, legal, and investor relations teams. This role combines policy development, testing, training, regulatory filings, oversight of employee conduct, and support for examinations and annual reviews. It's a great fit for someone who enjoys a blend of hands‑on testing, advisory responsibilities, and program management.
Responsibilities
* Maintain and update adviser compliance policies, procedures, and training
* Support testing of controls related to allocations, expenses, valuation, guidelines, and code of ethics
* Prepare for and respond to regulatory examinations
* Provide day‑to‑day compliance guidance to investment teams and staff
* Assist with regulatory filings (ADV, PF, 13F, 13H, lobbyist registration, etc.)
* Oversee Code of Ethics processes: personal trading, OBAs, private investments, gifts/entertainment, political contributions
* Prepare quarterly/annual compliance reporting and support the annual 206(4)-7 review
* Review marketing materials and investor diligence responses
* Monitor conflicts and oversee expert network usage
* Conduct new‑hire and ongoing compliance training
Qualifications
* 5-10 years of compliance experience within alternative asset management
* Experience across private equity, credit, or insurance strategies preferred
* BA/BS required; JD strongly preferred
* Strong knowledge of the Advisers Act and Investment Company Act
* Excellent communication, organization, and project‑management skills
* Ability to work independently and collaboratively in a fast‑paced environment
* Proficiency with Microsoft Office and compliance systems
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