Senior Compliance Officer

Duties:

• Regulatory Compliance: Oversee and ensure adherence to the 1940 Act, including the preparation and filing of Form ADV and other related documentation.
• Annual Compliance Review: Assist in conducting the annual compliance review and prepare reports on policies and procedures.
• Policy Development: Develop, review, and update compliance policies and procedures to align with regulatory requirements.
• Employee Training: Support compliance training initiatives for employees, including onboarding new hires.
• Examination Coordination: Facilitate the preparation and coordination of information for SEC and NFA examinations.
• Regulatory Filings: Assist in preparing and submitting regulatory filings, including Form PF-PQR and other state and federal filings, as well as SOC and annual audit requests.
• Policy Back-Testing: Conduct periodic back-testing of compliance policies, such as the Allocation Policy, Valuation Policy, Code of Ethics, and Compliance Manual.
• AML Diligence: Perform required annual diligence on the administrator’s anti-money laundering procedures.
• Meeting Documentation: Prepare and maintain minutes for committee and board meetings.
• Compliance Surveillance: Assist in compliance surveillance activities, including email monitoring, political contributions preclearances, and personal trading preclearances.
• Special Projects: Lead or support special projects as needed, contributing to the overall effectiveness of the compliance program.

Qualifications:

• At least 3+ years of prior experience in a compliance role and/or J.D. required; prior 

experience with private fund marketing or distribution compliance is a plus.

• Understanding of Federal securities law and regulations strongly preferred.

• Ability to manage multiple projects simultaneously with attention to detail, and the ability to 

thrive in deadline-driven environment.

• Strong skills in using compliance software and programs that support monitoring, reporting,

and risk assessment activities.

• Ability to interpret legal and business terms and grasp concepts quickly.

Ability to be proactive and work independently while also remaining a strong team player 

attitude.

• Exercises good judgment and completes assignments thoughtfully.

• Excellent drafting and organizational skills.

• Highest ethical standards, and ability to maintain discretion and confidentiality.