Compliance Officer

Rutherford is partnered with a large private credit fund in New York that is looking for a Compliance Officer in the team. This is a role focused heavily on provide regulatory support and advice to the various investment teams.

Key Responsibilities

• Provide day-to-day compliance advisory on relevant U.S. regulatory requirements (e.g., SEC, FINRA, CFTC/NFA, OFAC, AML/BSA), aligned to the firm’s activities.
• Advise on the identification, handling, and escalation of MNPI, including oversight of wall-crossing procedures, information barriers, and restricted/watch lists, and support surveillance/escalation around potential misuse.
• Support the development, implementation, and enhancement of compliance policies and procedures.
• Assist with regulatory filings, exams, audits, and responses to information requests.
• Review/approve marketing materials and investor communications as required.
• Support compliance training and promote regulatory awareness across the business.
• Track emerging regulatory developments and assess business impact.
• Contribute to compliance risk assessments, annual planning, and management reporting.

Requirements:

• 3–7 years of compliance experience within a leading private credit, private fund, broker-dealer or investment management.
• Strong knowledge of U.S. compliance frameworks and regulatory expectations.
• Experience in compliance advisory, monitoring/testing, or regulatory examinations.