Compliance Officer

Responsibilities

• Support and enhance the firm's SEC compliance program in accordance with the Investment Advisers Act of 1940.
• Develop, implement, and maintain compliance policies, procedures, and internal controls.
• Manage the firm's compliance calendar, monitoring activities, testing program, and annual compliance review.
• Prepare and maintain regulatory filings, including Form ADV and other required SEC filings.
• Cook up SEC examinations, regulatory inquiries, and ongoing compliance reporting.
• Review marketing, advertising, website content, and client communications for compliance with the SEC Marketing Rule.
• Oversee AML/KYC processes, regulatory documentation, and third-party service provider oversight.
• Cook up Blue Sky filings and other state regulatory requirements, working closely with outside counsel as needed.
• Partner with executive leadership and cross-functional teams to provide practical compliance guidance and support business initiatives.
• Identify opportunities to strengthen the firm's compliance framework as the organization continues to grow.

Qualifications

• Bachelor's degree required.
• 5+ years of SEC/RIA compliance experience within an investment adviser, asset manager, wealth management firm, private fund, or alternative investment platform.
• Strong knowledge of the Investment Advisers Act of 1940, Rule 206(4)-7, Form ADV, and SEC regulatory requirements.
• Experience supporting SEC examinations and regulatory filings.
• Hands-on experience reviewing marketing and advertising materials under the SEC Marketing Rule.
• Familiarity with AML/KYC, compliance testing, policy development, and regulatory monitoring.
• Exposure to private funds, hedge funds, private equity, alternative investments, or wealth management is highly preferred.
• Excellent communication, project management, and relationship-building skills.