The Firm Our client is a well-established global alternative investment manager with multi-billion-dollar assets under management. The firm invests across private and public credit markets, with investment teams in North America, Europe and Asia-Pacific. The firm is hiring an Associate Director or Director to join its Global Compliance team, reporting directly to the Global Chief Compliance Officer. The role helps the firm identify, assess and manage regulatory risk across jurisdictions and business lines.
Regulatory analysis
Track and analyze new laws, rules, guidance and enforcement trends affecting investment advisers and alternative managers worldwide.
Assess how new developments apply across jurisdictions and recommend practical, risk-based ways to implement them.
Research cross-border regulatory questions on investing, fundraising, marketing and operations.
Compliance program
Help build and run the firm's global compliance program, including the annual review and ongoing risk assessments.
Draft and update policies, procedures and controls as regulation changes.
Contribute to regulatory change and compliance modernization projects.
Business advisory
Give practical compliance guidance to investment, investor relations, operations, finance, legal and technology teams.
Evaluate regulatory considerations for new products, fund structures, managed accounts, co-investments and expansion into new markets.
Over time, take primary responsibility for reviewing marketing and investor materials under the SEC Marketing Rule and cross-border marketing rules.
Support regulatory filings and registrations across jurisdictions.
Help manage regulatory exams, audits and information requests from regulators, investors and counterparties.
Review disclosure documents, investor communications and DDQs, and deliver employee compliance training.
Use data analytics, automation and AI to strengthen monitoring, surveillance and risk assessment.
Help modernize the firm's compliance infrastructure.
5–10 years in compliance, legal, regulatory, consulting or a related function.
~ Ability to turn complex legal and regulatory issues into clear, practical business guidance.
~ Excellent analytical, writing and communication skills, and close attention to detail.
~ JD or equivalent legal qualification.
Law firm experience advising investment advisers, private funds, hedge funds, private credit or private equity managers.
Experience with cross-border regulatory matters and non-US regimes for advisers and private funds.
Experience using AI, automation or data analytics in compliance.
Regulatory analysis
Track and analyze new laws, rules, guidance and enforcement trends affecting investment advisers and alternative managers worldwide.
Assess how new developments apply across jurisdictions and recommend practical, risk-based ways to implement them.
Research cross-border regulatory questions on investing, fundraising, marketing and operations.
Compliance program
Help build and run the firm's global compliance program, including the annual review and ongoing risk assessments.
Draft and update policies, procedures and controls as regulation changes.
Contribute to regulatory change and compliance modernization projects.
Business advisory
Give practical compliance guidance to investment, investor relations, operations, finance, legal and technology teams.
Evaluate regulatory considerations for new products, fund structures, managed accounts, co-investments and expansion into new markets.
Over time, take primary responsibility for reviewing marketing and investor materials under the SEC Marketing Rule and cross-border marketing rules.
Support regulatory filings and registrations across jurisdictions.
Help manage regulatory exams, audits and information requests from regulators, investors and counterparties.
Review disclosure documents, investor communications and DDQs, and deliver employee compliance training.
Use data analytics, automation and AI to strengthen monitoring, surveillance and risk assessment.
Help modernize the firm's compliance infrastructure.
5–10 years in compliance, legal, regulatory, consulting or a related function.
~ Ability to turn complex legal and regulatory issues into clear, practical business guidance.
~ Excellent analytical, writing and communication skills, and close attention to detail.
~ JD or equivalent legal qualification.
Law firm experience advising investment advisers, private funds, hedge funds, private credit or private equity managers.
Experience with cross-border regulatory matters and non-US regimes for advisers and private funds.
Experience using AI, automation or data analytics in compliance.
Cco in new york at Unknown Company
This position is listed as full time and onsite.