Compliance Officer

VP of Compliance: Our client, a growing asset manager is seeking a senior level compliance professional to join their growing team. The Compliance team is responsible for developing, implementing, and monitoring compliance policies and procedures, tracking regulatory developments, and advising the business on compliance considerations throughout the investment process. The team partners closely with investment professionals, legal, and operations to support registered products and maintain a strong control environment. This role will support the continued growth and evolution of the registered funds platform, with responsibility across compliance program design, governance, regulatory filings, and board reporting.

Role highlights:

• Senior compliance role focused on registered investment companies and other public vehicles
• Exposure to both public and private markets within a large, institutional asset manager
• Significant interaction with boards, senior management, and front-office stakeholders
• Opportunity well suited for a law firm, regulator, or in-house professional with strong ’40 Act experience seeking broader platform responsibility
• Boston-based role within a collaborative compliance organization

Responsibilities:

• Support the registered funds platform’s SEC exemptive relief framework, including ownership of related processes, controls, documentation, and investment allocation oversight
• Assist with preparation and distribution of board and committee materials and meeting minutes for registered funds
• Support onboarding and ongoing regulatory governance requirements, including charter and exchange-related obligations
• Partner with compliance, legal, and technology teams to build and enhance systems supporting the registered funds compliance program
• Maintain regulatory filing calendars for registered funds, including support for Section 16 filings and other required submissions
• Coordinate and support Rule 38a-1 compliance testing and monitoring across registered products
• Perform reviews of service providers and advisor investment guideline reporting
• Prepare compliance reporting for boards, including quarterly CCO reports and annual compliance reviews
• Support documentation and reporting related to affiliated transactions
• Stay current on ’40 Act regulatory developments and assist with examination preparedness
• Organize and maintain fund legal and compliance documentation, including shared drives and document repositories
• Assist with drafting, updating, and maintaining compliance policies and procedures for registered funds

Qualifications:

• 7 years of experience in investment company and advisory compliance
• Strong understanding of the ’40 Act regulatory framework, examinations, and enforcement priorities
• Working knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, and related SEC rules
• Background in a law firm, regulatory agency, or compliance function at an asset manager preferred
• Strong interpersonal skills and the ability to partner effectively with investment and business leadership
• High level of integrity, sound judgment, and comfort handling sensitive matters

This role is well suited for someone with deep registered funds experience who wants senior responsibility, meaningful stakeholder interaction, and the opportunity to support a growing public vehicles platform within a large investment organization.