What are the responsibilities and job description for the Senior Compliance Opportunity position at Taylor Root?
We are partnering with a well-established investment firm to identify a Senior Compliance professional (and Counsel) for a newly created role. This position reports to the CCO and is designed for someone who can embed within the business as a true compliance generalist, working closely with investment, client-facing, and operational teams.
Key Responsibilities
- Support key components of the firm’s compliance program
- Conduct compliance testing, monitoring, and annual reviews
- Administer core policies, including code of ethics and personal trading
- Review and approve marketing and investor communications
- Partner with internal stakeholders to integrate compliance into business workflows
- Assist with regulatory filings (e.g., ADV, PF, or similar) and exam readiness
- Monitor regulatory developments impacting investment advisers
- Contribute to policy development and program enhancements
- Support third-party/vendor oversight and data protection processes
- Act as a day-to-day compliance partner to the business
Qualifications
- 4 years of compliance or legal experience within buy-side financial services
- Experience with private funds or alternative investments preferred
- JD strongly preferred, though not required. Candidates from law firms will also be considered.
- Open to candidates from law firms or in-house compliance roles
- Familiarity with marketing review, compliance testing, and core policies
- Strong business-oriented mindset with practical judgment