Key Duties & Responsibilities

• Assisting in enforcing Code of Ethics, which involves monitoring personal trading accounts, issuing certifications, and managing conflicts-of-interest.
• Maintaining and updating compliance policies and procedures, ensuring they're current and effective.
• Assisting with SEC and NFA filings and regulatory examinations to ensure compliance with regulatory requirements.
• Monitoring and auditing business processes to identify potential compliance risks and take appropriate actions to mitigate them.
• Supporting the enforcement and testing of compliance program to maintain effectiveness.
• Researching and analyzing applicable laws, regulations, and industry best practices to ensure ongoing compliance.
• Staying informed about SEC and NFA regulations, including changes and developments such as those related to ESG investing.
• Educating and training employees on regulatory requirements, updates, and nuances relevant to their roles.
• Assisting in conducting initial and ongoing operational due diligence (ODD) reviews of underlying investments with external private fund managers.
• Reviewing marketing materials for compliance with SEC "Marketing" or "Advertising" Rules of the Investment Advisers Act.
• Collaborating with compliance consultants and legal counsel when necessary.
• Providing support on projects related to new regulations and the continuous improvement of the compliance program.
• Completing ad hoc projects and other tasks as needed to support the Compliance team.

Required Skills & Abilities

• Excellent attention to detail and organizational skills.
• A continuous learning mindset to improve processes and stay ahead in a dynamic regulatory environment.
• Strong verbal and written communication skills, with the ability to build effective connections within and across teams.
• The ability to prioritize tasks quickly and work effectively under time constraints.
• Sound judgment in decision-making.
• Basic proficiency in the Microsoft Office suite.

Qualifications

• Bachelor's degree required.
• 3 years' experience with an investment adviser compliance team, regulator, or compliance consultant.
• Familiarity with the SEC's Investment Advisers Act concerning private funds and a basic understanding of regulatory frameworks; NFA experience is advantageous.
• Experience with private funds or registered fund operations is preferred.
• Previous experience in compliance, external audit, internal audit, and/or operational due diligence is desirable.
• Familiarity with alternative investment operations and controls is a plus.
• An interest and/or understanding of complex investing concepts is preferred.