Senior Compliance Officer – SEC-Registered Investment Adviser
A leading global financial institution is seeking a Senior Compliance Officer to join its growing U.S. compliance team. This is a high-impact role focused on supporting the firm’s SEC-registered investment adviser, advising private funds and SMA businesses, and ensuring compliance with U.S. and global regulatory requirements.
Key Responsibilities:
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Advise portfolio managers and investment teams on ongoing compliance obligations for private funds and separately managed accounts.
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Oversee and assist with regulatory filings including Form ADV, Form PF, and state lobbyist filings.
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Manage and enhance the Code of Ethics program, including oversight of personal trading, outside business activities, gifts & entertainment, and political contributions.
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Review and monitor expert network requests to mitigate MNPI risk and oversee call chaperoning.
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Draft, update, and improve policies, procedures, and internal controls, ensuring alignment with regulatory changes and business growth.
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Review NDAs and agreements to identify potential conflicts of interest and trading restrictions.
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Monitor regulatory developments (SEC, CFTC/NFA, FINRA, FCA, etc.) and provide practical guidance to the business.
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Partner with global compliance teams (including London) on regulatory reporting, trade surveillance, and monitoring.
Qualifications:
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7+ years of compliance experience within an investment adviser, asset manager, or private funds environment.
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Strong working knowledge of SEC and CFTC/NFA regulations; familiarity with FCA or other global regulators a plus.
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Hands-on experience preparing or overseeing Form ADV, Form PF, and other regulatory filings.
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Proven ability to advise senior stakeholders and act as a trusted compliance partner to the business.
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Strong judgement, analytical skills, and ability to manage multiple priorities in a fast-paced environment.
Why Join?
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Opportunity to play a key role in shaping the U.S. compliance program at a global firm.
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High visibility with senior management and clear growth trajectory toward broader leadership.
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Collaborative and dynamic team culture with hybrid work flexibility.
If you’re a compliance professional looking for a role where you can make an immediate impact and grow into a senior leadership track, we’d love to connect.
