Investment Compliance Manager (with flex to Associate)

We’re looking for an Investment Compliance professional to join the Legal & Compliance team of a highly regarded private investment firm.

The role can be leveled at either the Associate or Manager level depending on experience. This is a broad, hands-on position supporting the firm’s private equity and credit strategies and working closely with the Chief Compliance Officer, Investor Relations, Finance, IT, Legal, and Investment teams.

The opportunity offers strong exposure across the compliance program, including regulatory filings, marketing review, testing, Code of Ethics, investment monitoring, and fundraising-related activity.

Key Responsibilities

• Support Form ADV, Form PF, and other regulatory filings
• Review marketing materials, DDQs, and investor communications
• Administer and enhance the compliance testing program
• Monitor investment activity against guidelines, restrictions, side letters, and regulatory requirements
• Support Code of Ethics administration, employee compliance, and training
• Research regulatory developments and help update policies and procedures
• Partner across Legal, Investor Relations, Finance, IT, and Investment teams on compliance initiatives

Qualifications

• Compliance experience within investment management or financial services
• Private equity, private funds, alternative asset management, or investment adviser experience strongly preferred
• Experience with areas such as marketing review, compliance testing, regulatory filings, Code of Ethics, or policies and procedures
• Strong communication skills and ability to work effectively with senior professionals across the business