Compliance Officer
A growing investment management firm is seeking a Compliance Officer to support a broad range of regulatory, marketing, and advisory compliance initiatives. This individual will work closely with business leaders and serve as a key compliance partner on fundraising activities, product development, and firm-wide regulatory matters. This role will require 5 days onsite in NYC.
Responsibilities
- Provide compliance guidance to investor-facing and business development teams.
- Review/approve marketing materials, due diligence questionnaires, social media, and investor relations materials to ensure compliance
- Support regulatory filings, internal controls, and compliance monitoring programs.
- Draft and enhance compliance policies, procedures, and training materials.
- Advise on new business initiatives, product launches, and strategic projects.
- Monitor regulatory developments and help implement practical compliance solutions.
- Partner with stakeholders across legal, operations, and investment teams.
Qualifications
- 5+ years of compliance experience within investment management, private funds, alternatives, or financial services.
- Strong understanding of SEC-regulated environments and investment adviser compliance.
- Experience supporting fundraising, investor communications, and regulatory filings.
- Ability to manage multiple priorities in a fast-paced environment.
- JD, MBA, or relevant industry credentials are a plus.
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