Compliance and Operations Specialist

Star Mountain Capital; Tampa (FL); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

50% coverage on gym memberships

Cell phone stipend

Tuition support for job-related designations

Learning and development opportunities

Job summary

A growing investment firm in Tampa is seeking a Compliance Operations Specialist. This role supports the compliance program and operations functions across the firm's multi-vehicle platform. Key responsibilities include managing regulatory filings, executing compliance testing, and partnering with teams on financial controls. Ideal candidates have a background in compliance or legal within private equity or alternative asset management. The firm offers a competitive benefits package and opportunities for wealth creation.

Qualifications

• 2+ years of compliance, regulatory, or legal experience.
• Experience supporting regulatory exams.
• Working knowledge of the Investment Advisers Act.
• Experience supporting regulatory exams.
• Strong judgement and ability to understand complexities.
• SBIC and/or BDC experience preferred.

Responsibilities

• Support compliance program under regulatory frameworks.
• Execute compliance testing and monitoring.
• Manage regulatory filings like Form ADV and Form PF.
• Oversee Code of Ethics administration, personal trading surveillance, restricted lists, and MNPI controls.
• Support BDC board reporting, affiliated transaction monitoring, and governance processes.
• Partner with finance and operations on valuation oversight, financial reporting controls, and ICFR (as applicable).
• Coordinate analytics and research projects across teams, ensuring clear timelines, communication, and execution.
• Track follow-up requests and action items from leadership, ensuring accountability and timely follow-through.

Skills

Compliance knowledge

Regulatory understanding

Strong judgement

Attention to detail

Education

2+ years of relevant experience

Job description

Overview

Star Mountain is a rapidly growing, specialized private investment firm focused on the large and less competitive lower middle-market (LMM), comprised of businesses that generally have between $5 million and $50 million in annual EBITDA. Star Mountain employs three complementary strategies: (i) private credit, (ii) private equity and (iii) secondary private credit and private equity fund investing, all focused within the U.S. LMM. Star Mountain’s track record, business model, growth trajectory and award-winning culture provide compelling career opportunities for driven and talented individuals. Culture is a core principle which includes long-term alignment of interest with 100% of U.S. employees participating in investment profits. Star Mountain has ~$4.5 billion in assets under management (committed capital including debt facilities as of 10/31/25) and expects strong continued growth based on its performance, distinctive investment approach and its diversified investor base of domestic and global institutions (including public pensions, corporate pensions, insurance companies, commercial banks, endowments, foundations and family offices) and individuals. Star Mountain values team players with positive, solutions-based attitudes complemented by a strong work ethic and is heavily committed to long-term training and career development. Star Mountain is employee-owned with material long-term wealth creation opportunity for dedicated, entrepreneurial professionals. Dynamic team of 120+ full-time people and 40+ Senior Advisors / Operating Partners. The senior team has an average of 30 years of investment experience including prior leadership experience at Blackstone / GSO, Fortress, Goldman Sachs, Citigroup, J.P. Morgan and Merrill Lynch.

Position Description

We are seeking a Compliance Operations Specialist to support the Chief Compliance Officer and the Chief Risk Officer in overseeing and enhancing the firm’s compliance program and operations functions across our multi-vehicle platform. This role offers broad exposure to regulatory, governance, and financial reporting controls within a scaling, multi-strategy alternative asset manager.

Key Responsibilities

• Support the firm’s compliance program under the Investment Advisers Act, SBIC, and BDC regulatory frameworks
• Execute compliance testing and monitoring, document findings and remediation
• Manage regulatory filings (Form ADV, Form PF, FINRA, SBIC and BDC filings)
• Oversee Code of Ethics administration, personal trading surveillance, restricted lists, and MNPI controls
• Support BDC board reporting, affiliated transaction monitoring, and governance processes
• Partner with finance and operations on valuation oversight, financial reporting controls, and ICFR (as applicable)
• Coordinate analytics and research projects across teams, ensuring clear timelines, communication, and execution
• Support initiatives involving credit risk analysis, helping organize data
• Track follow-up requests and action items from leadership, ensuring accountability and timely follow-through
• Prepare and organize materials, summaries, and updates for internal meetings and executive reviews
• Maintain compliance calendar and deliver compliance training across teams

Qualifications

• 2+ years of compliance, regulatory, or legal experience within private credit, private equity, SBIC, BDC, or alternative asset management
• Additional operational experience within an alternative asset management environment also preferred
• Working knowledge of the Investment Advisers Act
• Experience supporting regulatory exams
• Strong judgement and ability to understand complexities
• SBIC and/or BDC experience preferred

Location

Must be willing to work out of our Tampa, FL Office.

Timing

Immediate

Compensation

The exact salary will be determined based on the candidate's qualifications, experience, and performance during the selection process. Employees are eligible for an annual discretionary bonus and other economics. Total compensation may vary by role, location, department, and individual performance. The firm is 100% employee owned providing for material economic wealth creation opportunity.

Benefits

Star Mountain Capital is committed to a healthy and engaged workforce. Our benefits are constantly evolving to support our employees’ needs today and in the future. We offer a highly competitive medical, dental, and vision package. Select other benefits include: 50% coverage on monthly gym memberships, a cell phone stipend, tuition support of job-related designations and learning and development opportunities, and other bespoke benefits

Interview Process

Thank you for your interest in a role at Star Mountain Capital. Please note that due to the high volume of applications we receive, we may not be able to respond to each one individually. If your resume is a match for the role you’ve applied for or other potential opportunities, we will reach to start the conversation. If you do not hear from us immediately, please understand that we are carefully reviewing all applications and will keep your resume on file for future opportunities that align with your experience and qualifications. Please submit your resume through LinkedIn and if you would like to include additional information, such as a cover letter, previous projects, transcripts or references, you may submit this to [e-mail].

Investing in the Growth Engine of America ®