Buy Side Compliance Officer

Overview

• Drive compliance initiatives at a leading investment firm, ensuring adherence to regulatory standards and governance requirements.
• Support the Chief Compliance Officer in managing compliance programs, regulatory filings, and governance matters for registered funds.
• Collaborate with legal counsel and administrators to prepare board materials, agendas, and oversee shareholder meeting coordination.
• Administer fund valuation committees, compliance testing, and investment guideline adherence to ensure operational integrity.
• Enhance compliance frameworks in response to evolving regulations and organizational changes, driving continuous improvement.
• Conduct risk assessments and testing programs to identify areas for compliance process optimization.
• Maintain expertise in federal securities laws, investment company regulations, and FINRA rules applicable to registered funds.
• Demonstrate integrity and commitment to ethical principles while supporting firm-wide compliance initiatives.

Key Responsibilities & Duties

• Provide compliance support for U.S. registered closed-end funds, interval funds, and business development companies.
• Ensure adherence to SEC co-investment exemptive relief, including pre-approval processes and board reporting.
• Collaborate with fund counsel to update filings, registration statements, and annual prospectus documentation.
• Coordinate shareholder meetings and assist with fund valuation committee administration and compliance testing.
• Develop risk matrices, execute testing procedures, and recommend enhancements based on test outcomes.
• Support compliance program improvements in response to regulatory changes and business developments.
• Advise senior management on board proposals and compliance matters, ensuring informed decision-making.
• Collaborate with legal and compliance teams to uphold ethical standards and support firm-wide initiatives.

Job Requirements

• Bachelor's degree required; JD preferred for advanced legal expertise.
• Minimum of 3 years in financial services or asset management, focusing on ’40 Act products.
• Comprehensive knowledge of federal securities laws, Investment Company Act, Advisers Act, and FINRA rules.
• Experience with fixed income, CLOs, and private debt preferred for specialized compliance tasks.
• Exceptional organizational skills and attention to detail for managing complex compliance processes.
• Demonstrated ethical standards and discretion in handling sensitive information.
• Adaptability to evolving business needs and regulatory landscapes for proactive compliance management.
• Strong analytical skills and collaborative mindset to drive team success.