Job Description

Overview:

Our client is a leading global investment manager seeking a Compliance Officer to support its growing suite of investment vehicles.

The Compliance team oversees multiple funds and vehicles, including several retail-oriented products such as a ’40 Act fund and a ’34 Act fund.

The ideal candidate will bring deep expertise in ’40 Act fund compliance and a strong understanding of ’34 Act compliance. The position requires someone who can independently manage all compliance-related filings and obligations, as well as serve in a corporate secretary capacity for relevant entities. This individual will report to the firm’s Global Chief Compliance Officer..

Key Responsibilities

• Oversee all compliance requirements for a ’40 Act vehicle
• Manage compliance for a ’34 Act fund
• Lead compliance efforts for a second advisor serving both vehicles
• Serve as Corporate Secretary for all three entities and manage their respective boards
• Collaborate with internal teams (Compliance, Legal, Finance, Investor Relations) and external counsel as needed to fulfill compliance obligations

Qualifications

• JD preferred but not required
• 7+ years of compliance experience
• Deep technical knowledge of ’40 Act and ’34 Act compliance
• High attention to detail and ability to independently lead core compliance functions while integrating into a global team

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