Compliance Counsel

Role- Vice President – Compliance | Alternative Asset Management

Location- NYC

Hybrid Office Policy- 4/1

Comp 250-400k total comp

Join a next-generation multi-asset investment platform and play a key role in building and enhancing a best-in-class compliance program.

About the Firm

A rapidly growing, integrated multi-asset investment platform is seeking a Compliance Senior Associate / Vice President to support its global compliance function.

Responsibilities

• Compliance Program Management: Maintain and enhance the investment adviser compliance program, including drafting and updating policies, conducting testing, and supporting regulatory readiness
• Regulatory Filings: Assist in preparing and reviewing filings such as Form ADV, Form PF, 13F, 13H, and other required disclosures
• Policy Advisory: Provide day-to-day compliance guidance to investment teams and business partners on regulatory requirements and internal policies
• Code of Ethics Oversight: Review and approve employee requests related to personal trading, outside business activities, private investments, gifts and entertainment, and political contributions
• Compliance Monitoring & Testing: Support testing across key areas including investment allocations, expenses, valuation, and adherence to investment guidelines
• Conflicts Management: Identify, monitor, and advise on potential conflicts of interest across the platform
• Marketing & Investor Compliance: Review marketing materials and support responses to investor due diligence questionnaires
• Training & Education: Develop and deliver compliance training programs for new hires and ongoing employee education
• Regulatory Examinations: Assist in preparation for and response to regulatory inquiries and examinations
• Reporting: Prepare quarterly and annual compliance reports, including contributions to the annual compliance review

Qualifications:

• 5–10 years of compliance experience within alternative asset management
• Strong knowledge of the Investment Advisers Act and Investment Company Act
• Experience across Private Equity, Credit, or Insurance strategies preferred
• JD required
• Strong communication, organization, and project management skills