Join the World's Top Legal Talent Network

Key Responsibilities:

• Monitor and Adapt to Legal and Regulatory Changes: Develop and implement new policies and procedures to mitigate risks. Lead the regulatory change management process in collaboration with operations and investment teams. Ensure the execution, monitoring, and testing of these policies and procedures.
• Administer Compliance Policies: Focus on compliance areas such as personal trading, insider trading, pay-to-play, gifts and entertainment, and political contributions.
• Advise on Regulatory Compliance: Provide guidance to the investment team on regulatory compliance issues, including conflicts of interest, investment allocation, information sharing (both public and private), and fund governance.
• Regulatory Filings: Prepare and oversee various regulatory filings with the SEC and other international regulatory bodies in partnership with operations and finance teams.
• Trade Surveillance: Enhance and maintain a robust trade surveillance program to ensure compliance with relevant legal and regulatory requirements, as well as internal allocation policies and procedures.
• Compliance Training: Coordinate global compliance training initiatives and materials for employees.
• Periodic Compliance Testing and Reviews: Conduct regular compliance testing and reviews to ensure policies and procedures are effective.

Requirements:

• Education: Bachelor’s degree required. Advanced degrees (JD or MBA) are advantageous but not mandatory.
• Experience: Minimum of 8 years of experience in compliance-related roles.
• Knowledge: Thorough understanding of SEC regulatory requirements, including the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934, along with their associated rules and regulations.

*Expected total cash compensation is ~$350-400k.

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