Registered Funds Compliance, Associate / Vice President

Our client, a leading global investment management firm, is conducting a retained search for a Registered Funds Compliance Associate / Vice President to join its Compliance team in Greenwich, Connecticut.

This role is ideal for a compliance professional with experience supporting registered investment products, investment advisory activities, and trading compliance across multiple asset classes and investment strategies. The successful candidate will work closely with portfolio managers, traders, legal, and operations teams, providing guidance on regulatory requirements, investment restrictions, and compliance monitoring activities.

Key Responsibilities

• Monitor adherence to registered fund requirements, including U.S. registered investment companies (’40 Act Funds), UCITS funds, client investment guidelines, offering documents, internal policies, and applicable regulatory requirements.
• Support compliance oversight for private funds and separately managed accounts.
• Draft, review, and enhance compliance policies and procedures to address evolving business needs, regulatory developments, and new product launches.
• Develop strong partnerships with portfolio managers, traders, and other business stakeholders to provide practical compliance guidance.
• Research, interpret, and advise on investment management and trading-related laws, regulations, and regulatory guidance.
• Implement and improve monitoring controls and surveillance processes designed to identify potential issues on a real-time basis.
• Assist in the investigation, escalation, and resolution of compliance matters as needed.
• Support ongoing regulatory and internal compliance initiatives across the platform.

Qualifications

• Bachelor’s degree required.
• 3-6 years of investment management, trading compliance, or related compliance experience.
• Strong understanding of:
• Investment Advisers Act of 1940
• Investment Company Act of 1940
• UCITS regulatory framework
• Registered fund compliance and investment restrictions
• Experience working with multiple asset classes, including:
• Equities
• Fixed Income
• Futures
• Swaps
• Alternative investment strategies
• Experience using compliance monitoring and order management platforms such as:
• Bloomberg
• Aladdin
• Charles River
• Sentinel
• Similar compliance monitoring systems
• Strong analytical and problem-solving abilities with excellent attention to detail.

Preferred Qualifications

• CFA, CAIA, or FRM designation.
• Experience supporting alternative investment strategies within a registered fund environment.
• Exposure to global investment products and cross-border regulatory requirements.

Candidate Profile

The ideal candidate is:

• Intelligent, proactive, and intellectually curious.
• Comfortable working in a fast-paced investment environment.
• Able to manage multiple priorities and deadlines effectively.
• An excellent communicator capable of partnering with senior investment professionals and business leaders.
• Highly organized, detail-oriented, and capable of exercising sound judgment.
• A self-starter who thrives in a collaborative and rigorous environment.

Compensation

• Base Salary: $150,000 - $175,000
• Annual discretionary bonus eligibility
• Competitive benefits package

This is an outstanding opportunity for a compliance professional seeking broad exposure to registered funds, alternative investment strategies, portfolio management teams, and complex global regulatory matters within a highly sophisticated investment management platform.