Compliance Counsel

Role- Vice President – Compliance | Alternative Asset Management

Location- NYC

Hybrid Office Policy- 4/1

Join a next-generation multi-asset investment platform and play a key role in building and enhancing a best-in-class compliance program.

About the Firm

A rapidly growing, integrated multi-asset investment platform is seeking a Compliance Senior Associate / Vice President to support its global compliance function.

Responsibilities

• Compliance Program Management : Maintain and enhance the investment adviser compliance program, including drafting and updating policies, conducting testing, and supporting regulatory readiness
• Regulatory Filings : Assist in preparing and reviewing filings such as Form ADV, Form PF, 13F, 13H , and other required disclosures
• Policy Advisory : Provide day‑to‑day compliance guidance to investment teams and business partners on regulatory requirements and internal policies
• Code of Ethics Oversight : Review and approve employee requests related to personal trading, outside business activities, private investments, gifts and entertainment, and political contributions
• Compliance Monitoring & Testing : Support testing across key areas including investment allocations, expenses, valuation, and adherence to investment guidelines
• Conflicts Management : Identify, monitor, and advise on potential conflicts of interest across the platform
• Marketing & Investor Compliance : Review marketing materials and support responses to investor due diligence questionnaires
• Training & Education : Develop and deliver compliance training programs for new hires and ongoing employee education
• Regulatory Examinations : Assist in preparation for and response to regulatory inquiries and examinations
• Reporting : Prepare quarterly and annual compliance reports, including contributions to the annual compliance review

Qualifications

• 5–10 years of compliance experience within alternative asset management
• Strong knowledge of the Investment Advisers Act and Investment Company Act
• Experience across Private Equity, Credit, or Insurance strategies preferred
• JD required
• Strong communication, organization, and project management skills