Compliance Officer
A growing alternative investment firm is seeking a Compliance professional to support and enhance its regulatory framework during a period of continued expansion. Working closely with senior leadership, this individual will help oversee compliance activities across private investment strategies, fund operations, investor communications, governance, and regulatory reporting. The role offers broad exposure across the business and is ideal for a compliance professional who combines strong regulatory expertise with a practical, solutions-oriented approach. Particular emphasis is placed on supporting private credit, asset-backed finance, and other private fund structures within a fast-paced and entrepreneurial environment.
Key Requirements
- 5-10 years of compliance experience within private credit, asset-backed finance (ABF), private equity, hedge funds, or alternative asset management.
- Strong knowledge of the Investment Advisers Act of 1940 and private fund regulations.
- Experience supporting SEC examinations, audits, and regulatory filings.
- Background with Form ADV, Form PF, and adviser compliance programs.
- Experience developing compliance monitoring, testing, and risk assessment programs.
- Familiarity with private fund operations, fundraising, investor due diligence, and fund launches.
- Knowledge of Code of Ethics administration, personal trading surveillance, and employee compliance certifications.
- Experience reviewing marketing materials, investor communications, and regulatory disclosures.
- Understanding of KYC/AML, governance, and operational compliance requirements.
- Exposure to multi-jurisdictional regulatory frameworks and third-party service provider oversight.
- Ability to partner with investment, operations, finance, legal, and investor relations teams.
- Strong written communication, organizational skills, and attention to detail.
- Proven ability to balance regulatory requirements with business objectives in a fast-growing environment.
- Bachelor's degree required; JD, MBA, CFA, CRCP, or similar credentials are a plus.
- Direct experience supporting private credit, direct lending, structured credit, specialty finance, ABF, or other private fund strategies strongly preferred.
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