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About the Role

This role involves analyzing complex compliance issues and developing, implementing, and testing compliance programs for clients in the alternative and traditional investment sectors. It requires professionalism, sound judgment, and adaptability to client-driven schedules, while also supporting regulatory exams and outsourced Chief Compliance Officer functions.

Responsibilities

• Manage client engagements, providing strategic compliance guidance with minimal oversight.
• Ensure timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures.
• Lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations.
• Stay on top of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues.
• Foster a collaborative team culture, mentor junior staff, and support firm-wide initiatives such as business development and operational excellence.

Requirements

• 4 plus years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or have practiced law regarding registered investment companies.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiarity with SEC examination practices and preferably hands-on experience with both actual and mock exams.
• Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements.
• Ability to apply regulatory knowledge to guide clients effectively and ensure their compliance programs are robust and up to date.

Skills

• Accuracy
• Critical thinking
• Independent problem-solving
• Quality focus
• Results orientation
• Professionalism
• Sound judgment
• Adaptability

Location

• Dependent on location

Work Type

• Hybrid work schedule
• Permanent

Experience Level

• 4 plus years

Salary/Compensations

• $72,000-$110,000

Benefits

• Generous paid time off (4 weeks increasing over time)
• Sick time
• Paid holidays
• 401(k) plan with company match (subject to eligibility)
• Medical insurance
• Dental insurance
• Vision insurance
• Mental health support
• Ancillary insurance plans
• Paid parental leave

About the Company

• A leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.
• Employs a global workforce of 5,800+ people across 25 jurisdictions with assets under administration exceeding US$750 billion.
• Works with 13 of the world’s top-15 private equity firms.
• Services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.
• Driven by the Group purpose: to power people and possibilities.
• Sustainability is integral to strategy and operations, focusing on long-term relationships with stakeholders and reducing environmental impact.
• Committed to fostering an inclusive, equitable, and diverse culture.
• Offers learning and development programs (PowerU and MyCampus) to invest in employee career growth.
• Supports women managers launching their first fund through IQ-EQ Launchpad.

Equal Opportunity

• Committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.