Compliance Manager - Investment Management

About This Role

Lead and enhance a sophisticated regulatory compliance program for a growing investment platform. This high-impact leadership role involves building structure, partnering with senior stakeholders, and driving a culture of integrity in a fast-paced, highly regulated environment.

Responsibilities

• Lead and enhance the firm’s SEC compliance program
• Review and strengthen compliance policies, procedures, and internal controls
• Manage the compliance calendar, key deliverables, and regulatory checklists
• Review marketing, advertising, and client-facing materials for regulatory accuracy
• Oversee regulatory filings, examinations, and ongoing regulatory interactions
• Manage AML and KYC processes and oversee third-party administrators
• Partner with outside counsel on vendor agreements and legal documentation
• Ensure proper maintenance and organization of all legal and regulatory records

Requirements

• Bachelor's degree
• 5+ years of SEC/RIA compliance experience
• 3+ years in a leadership or management capacity
• Deep knowledge of the Investment Advisers Act of 1940 and related SEC regulations
• Working knowledge of SEC, CFTC/NFA, and FINRA regulatory frameworks
• Experience within hedge funds, private funds, or asset management environments
• Proven ability to design, implement, and oversee effective compliance programs

Qualifications

• Bachelor’s degree required; JD or advanced degree preferred
• 5+ years of SEC/RIA compliance experience, including at least 3 years in a leadership or management capacity

Nice to Have

• JD or advanced degree
• Strong leadership, organizational, and project management skills
• Ability to manage competing priorities while collaborating across teams