Regulatory Compliance Manager

About the Company

As part of our Legal & Compliance team, the Senior Associate, Compliance will report directly to our Chief Compliance Officer—a highly regarded leader known for their collaborative mindset, deep regulatory expertise, and commitment to mentorship. This is a unique opportunity to work alongside a leader who values curiosity, integrity, and professional development. You’ll be encouraged to think critically, contribute meaningfully, and grow within a supportive and intellectually rigorous environment.

If you're looking to make a tangible impact while being guided by a leader who invests in your success, we invite you to explore this opportunity with us.

About the Role

As a key member of our compliance team, you will:

Responsibilities

• Enhance Compliance Infrastructure: Develop and refine internal compliance policies, with a focus on marketing, advertising, and investor communications in alignment with SEC and global regulatory standards.
• Lead Regulatory Engagement: Manage regulatory filings (SEC, CFTC/NFA, and select international jurisdictions), and support regulatory exams, audits, and mock reviews.
• Support Investment Activities: Review fundraising materials, due diligence responses, and disclosures across private funds, hedge funds, and institutional vehicles.
• Drive Training & Awareness: Design and deliver compliance training programs for investment, operations, and client-facing teams.
• Monitor and Mitigate Risk: Conduct risk assessments, monitor trading activity, maintain restricted lists, and oversee MNPI and trade clearance protocols.
• Collaborate Cross-Functionally: Partner with legal, finance, operations, and investment teams to ensure compliance is embedded in business processes and strategic initiatives.

Qualifications

• Experience: 8+ years in a compliance role within a hedge fund, private equity firm, law firm, or financial services consultancy.
• Expertise: Strong command of the Investment Advisers Act of 1940 and related U.S. regulatory frameworks; familiarity with global compliance regimes is a plus.
• Execution: Proven ability to implement and scale compliance programs in dynamic, high-growth environments.
• Communication: Excellent written and verbal communication skills, with the ability to translate complex regulations into actionable guidance.
• Judgment: Sound decision-making skills and the ability to navigate ambiguity with confidence and integrity.
• Education: Bachelor’s degree required; JD, MBA, or relevant certifications (e.g., IACCP, CFA) are highly desirable.

Required Skills

• Strong command of the Investment Advisers Act of 1940 and related U.S. regulatory frameworks.
• Excellent written and verbal communication skills.
• Proven ability to implement and scale compliance programs.

Preferred Skills

• Familiarity with global compliance regimes.
• Relevant certifications (e.g., IACCP, CFA).

Pay range and compensation package

Impactful Work: Play a pivotal role in shaping the compliance culture of a growing investment platform.

Collaborative Culture: Work alongside experienced professionals in a supportive, high-performance environment.

Flexibility: Enjoy hybrid work options and a nationwide presence with offices in Miami and New York.

Growth Opportunities: Expand your expertise and grow your career in a firm that values innovation and integrity.