Compliance Risk Management Director (Retail Alternative Investment Funds) - Executive Director

Job Responsibilities

• Serve as Chief Compliance Officer of registered investment funds in private equity and private credit strategies and advise the investment groups responsible for the fund's strategies.
• Advise on regulatory matters related to fund formation, valuation, investment guidelines, conflicts, and disclosures.
• Lead compliance program design and operation under Rule 38a-1, including monitoring, testing, and reporting.
• Prepare and present Board-facing reports and updates related to program effectiveness and material compliance matters.
• Collaborate with legal, risk, product, platform, and operations teams to identify and resolve complex regulatory issues.
• Identify, escalate, and respond to emerging compliance risks or control remediation in fund operations.
• Maintain working knowledge of SEC rules applicable to registered closed-end funds, including valuation practices, redemption offerings, and affiliated transaction no-action and exemptive relief.
• Conduct the annual compliance review process and report of findings.
• Build and sustain strong partnerships with internal stakeholders and the Board, aligning compliance oversight with business objectives.
• Track emerging regulatory developments and assess their impact on fund operations and strategy.
• Mentor and support colleagues with less experience in alternative fund structures or compliance leadership.

Required Qualifications, Capabilities And Skills

• 10+ years of experience in regulatory compliance, legal, or risk management roles within asset management or financial services.
• Expertise in SEC regulations applicable to registered investment companies, particularly closed-end interval or tender-offer funds, and the Investment Advisers Act of 1940.
• Proven ability to communicate complex regulatory issues clearly in writing and verbally to senior audiences.
• Strong working knowledge of fund governance, including preparation of Board materials and annual compliance reporting.
• Ability to operate independently and lead cross-functional initiatives with limited oversight.
• Track record of professional judgment in ambiguous or novel regulatory situations.
• Bachelor's degree or higher in law, finance, or related field.
• Demonstrated integrity, accountability, and professional maturity in regulated environments.

Preferred Qualifications, Capabilities And Skills

• Experience as Chief Compliance Officer of a registered investment company or experience serving in a designated compliance or control function leadership capacity.
• Subject matter expertise in private equity or private credit within fund structures.
• Experience reviewing or overseeing valuation practices for illiquid or private assets, liquidity management, and affiliate oversight frameworks.
• Participation in regulatory exams related to fund compliance.
• Strong presentation skills and experience interacting with fund Boards or formal governance bodies.
• Operational familiarity with compliance program testing and documentation processes and systems.
• Commitment to inclusive leadership and supporting a culture of growth and curiosity.