Investment Compliance Manager (with flex to Associate)

Were looking for an Investment Compliance professional to join the Legal & Compliance team of a highly regarded private investment firm.

The role can be leveled at either theAssociate or Manager leveldepending on experience. This is a broad hands-on position supporting the firms private equity and credit strategies and working closely with the Chief Compliance Officer Investor Relations Finance IT Legal and Investment teams.

The opportunity offers strong exposure across the compliance program including regulatory filings marketing review testing Code of Ethics investment monitoring and fundraising-related activity.

Key Responsibilities

• Support Form ADV Form PF and other regulatory filings
• Review marketing materials DDQs and investor communications
• Administer and enhance the compliance testing program
• Monitor investment activity against guidelines restrictions side letters and regulatory requirements
• Support Code of Ethics administration employee compliance and training
• Research regulatory developments and help update policies and procedures
• Partner across Legal Investor Relations Finance IT and Investment teams on compliance initiatives

Qualifications

• Compliance experience within investment management or financial services
• Private equity private funds alternative asset management or investment adviser experience strongly preferred
• Experience with areas such as marketing review compliance testing regulatory filings Code of Ethics or policies and procedures
• Strong communication skills and ability to work effectively with senior professionals across the business