Job Description

Compensation: 100k - 120k plus annual bonus

Please note that candidates must have some compliance experience from a PE Firm/RIA

Key Responsibilities

• Assist in the implementation, monitoring, and enhancement of the firm’s compliance program
• Support annual and ongoing compliance reviews, including risk assessments and testing protocols.
• Monitor and analyze regulatory developments, providing guidance on implications for the firm’s operations.
• Conduct forensic testing of trading and portfolio management activities to ensure compliance with firm policies.
• Maintain and update compliance records and filings, including Form ADV, Form PF, and other regulatory submissions.
• Support the review and approval of marketing materials and investor communications in accordance with SEC marketing rules.
• Assist with compliance training for employees and new hires.
• Work cross-functionally with Legal, Investor Relations, Operations, and Investment teams.
• Assist in managing regulatory exams and audits.
• Help evaluate and manage third-party service providers from a compliance perspective.

Qualifications

• Bachelor's degree required; JD, MBA, or relevant advanced degree a plus.
• 5–7+ years of compliance experience, preferably within a private equity and/or registered investment adviser environment.
• Deep knowledge of SEC regulations and private fund compliance practices.
• Experience with compliance systems (e.g., ComplySci, MyComplianceOffice, or similar platforms).
• Excellent analytical, organizational, and communication skills.
• Proven ability to manage multiple priorities and meet tight deadlines.
• High level of integrity, discretion, and professionalism.

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