Regulatory Compliance, Principal

Responsibilities

• Lead key components of the firm’s 1940 Act compliance framework for BDCs, registered closed-end funds, and other registered investment products, including coordination of regulatory requirements and ongoing compliance processes
• Manage D&O compliance matters for both the corporate Board and registered fund Boards, including director questionnaires, related party transaction monitoring and disclosure, and Section 16 reporting requirements
• Coordinate Board and Audit Committee governance processes, including preparation and review of materials and follow-up on key matters
• Monitor regulatory developments and SEC guidance affecting registered investment products and advise stakeholders on compliance implications and required policy updates
• Assist in development and enhancement of the compliance program for 1940 Act registered products, including providing support for new product development, fund launches, and implementation of new regulations
• Own the compliance framework for fee and expense governance, including allocation methodologies, monitoring, disclosures, and ongoing oversight in coordination with Finance, Legal, and the business
• Support cross-functional compliance initiatives, including ESG, cybersecurity, AI governance, and data privacy
• Drive strategic and ad hoc compliance initiatives, mentor junior team members, and serve as a trusted advisor to Compliance leadership and the broader firm

Qualifications

• Bachelor’s degree or higher
• 10+ years of work experience in investment management, financial services, or industry-related compliance, with deep expertise in the 1940 Act and related rules
• Experience in private markets, alternative investments, real assets, and/or private funds; prior experience supporting BDC, registered closed-end fund, or public company boards a plus
• Excellent organizational, oral and written communication skills, including the ability to effectively present to senior leadership
• Ability to effectively drive solutions throughout the firm and present ideas in an effective, consensus-driven manner
• Ability to develop and foster strong interpersonal relationships and to maintain effective cross-functional business relationships throughout the firm
• Detail-oriented with the ability to assess and prioritize projects, manage multiple workstreams simultaneously, and escalate issues appropriately

Pay

The base annual salary range for this New Jersey-based position will be $215,000 - $225,000. Actual salary offered will be based on the candidate’s skill, experience, and qualification for the role.

Schedule

Employees may be eligible for a discretionary bonus, based on factors such as individual and team performance.

Benefits

• Health, Dental and Vision insurance
• 401(k)
• Healthcare and Dependent Care Flexible Spending Account
• Short Term Disability insurance
• Long Term Disability Insurance
• Family Planning Support
• Paid Time Off
• Leave of Absences