Buyside Compliance

Overview

• Provide compliance support to diverse investment clients, including hedge funds, private equity firms, and venture capital managers.
• Draft, update, and maintain compliance policies and procedures aligned with SEC regulations and industry standards.
• Conduct compliance testing, trade surveillance, and monitoring activities to ensure regulatory adherence.
• Assist with regulatory filings and coordinate responses to inquiries and examinations.
• Oversee Code of Ethics administration, including certifications, disclosures, and monitoring restricted lists.
• Provide guidance on AML/KYC processes and investor onboarding requirements.
• Review marketing materials and investor communications for compliance with applicable regulations.
• Stay updated on regulatory developments impacting alternative investment industries.

Key Responsibilities & Duties

• Manage compliance programs for registered and exempt investment advisers across multiple client engagements.
• Draft, update, and maintain compliance policies and procedures in line with evolving standards.
• Conduct compliance testing, including trade surveillance and personal trading reviews.
• Assist with regulatory filings such as Form ADV, Form PF, and Blue Sky filings.
• Support Code of Ethics administration and monitor employee certifications and disclosures.
• Provide AML/KYC guidance and support investor onboarding and due diligence processes.
• Review marketing materials for compliance with SEC Marketing Rule and other regulations.
• Coordinate with stakeholders to address compliance matters and implement best practices.

Job Requirements

• Bachelor of Arts (BA) degree required, preferably in a related field.
• 5–10 years of experience in investment adviser compliance, ideally within consulting or asset management.
• Strong knowledge of SEC regulations, including the Investment Advisers Act and Marketing Rule.
• Experience with compliance systems such as ComplySci, Sentinel, or Bloomberg AIM preferred.
• Excellent written and verbal communication skills with a focus on detail and risk management.
• Ability to manage multiple client relationships in a dynamic environment.
• Familiarity with NFA and Futures compliance is highly preferred.
• Clear path for growth into senior advisory or leadership roles.