Job Description

Senior Compliance Officer – Alternative Asset Management

A well-established and growing alternative asset manager with over $10B AUM is seeking a Senior Compliance Officer to join their team. This newly created role offers the opportunity to work closely with the General Counsel/Chief Compliance Officer and lead key compliance initiatives across U.S. and international operations.

Highlights:

• First fully dedicated compliance hire at a collaborative, high-growth firm.
• High visibility across teams and leadership.
• Hybrid schedule (4 days in-office) with strong work/life balance and competitive compensation.

Key Responsibilities:

• Conduct compliance reviews (e.g., personal trading, investment restrictions, vendor management, social media, political contributions).
• Develop and implement compliance policies, procedures, and testing protocols.
• Prepare regulatory filings (ADV, Form 13F, Form PF).
• Review and update marketing materials and support investor relations on compliance matters.
• Support IR on all compliance matters relating to Client/LP inquiries
• Oversee gift and entertainment reviews and monitor employee trading activity.
• Handle special projects and support broader compliance initiatives.

Qualifications:

• Minimum 5 years of compliance experience in alternative asset management.
• Bachelor’s degree required; JD is a strong plus.
• Strong attention to detail, interpersonal skills, and ability to mentor junior team members.

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.

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