Senior Compliance Opportunity

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 ResponsibilitiesSupport key components of the firm’s compliance programConduct compliance testing, monitoring, and annual reviewsAdminister core policies, including code of ethics and personal tradingReview and approve marketing and investor communicationsPartner with internal stakeholders to integrate compliance into business workflowsAssist with regulatory filings (e.g., ADV, PF, or similar) and exam readinessMonitor regulatory developments impacting investment advisersContribute to policy development and program enhancementsSupport third-party/vendor oversight and data protection processesAct as a day-to-day compliance partner to the businessQualifications4+ years of compliance or legal experience within buy-side financial servicesExperience with private funds or alternative investments preferredJD strongly preferred, though not required. Candidates from law firms will also be considered.Open to candidates from law firms or in-house compliance rolesFamiliarity with marketing review, compliance testing, and core policiesStrong business-oriented mindset with practical judgment