Compliance Officer

Taylor Root; New York (NY); On-site; USD 150,000 - 230,000; Full time

Job summary

Taylor Root is seeking a Compliance Officer for its growing private markets platform in New York. The role emphasizes a strong marketing review component and works with capital raising, investor relations, legal, and senior leaders across the firm.

The candidate will lead reviews of marketing materials, advise on SEC Marketing Rule compliance for private fund marketing, and help shape the firm’s compliance program, policies, and training initiatives.

Qualifications

• 4+ years of compliance experience at an asset manager or alternative investment firm.
• Significant marketing review experience required.
• Strong knowledge of the SEC Marketing Rule for private fund marketing.
• Experience reviewing investor-facing materials and fundraising communications.
• Bachelor's degree; advanced degree a plus.
• Strong communication, organizational, and project management skills.

Responsibilities

• Lead review and approval of marketing materials including pitchbooks, DDQs, investor communications, presentations, and social media content.
• Advise on the SEC Marketing Rule and private fund marketing activities.
• Support and enhance the firm's distribution and capital markets compliance programs.
• Manage regulatory filings and reporting obligations, including Form ADV and Form PF.
• Draft and enhance compliance policies, procedures, and controls.
• Conduct compliance testing, monitoring, and training initiatives.
• Partner with business stakeholders on new products, growth initiatives, and regulatory matters.
• Monitor regulatory developments and help implement compliance best practices.

Skills

Compliance experience

Marketing review

Communication skills

Project management

Regulatory knowledge

Education

Bachelor's degree

Advanced degree a plus

Job description

A leading alternative investment manager is seeking a Compliance Officer to join its growing team. This role has a significant marketing review component and offers the opportunity to work closely with capital raising, investor relations, legal, and senior business leaders across a dynamic private markets platform.

Key Responsibilities

• Lead the review and approval of marketing materials including pitchbooks, DDQs, investor communications, presentations, and social media content
• Serve as a key advisor on the SEC Marketing Rule and private fund marketing activities
• Support and enhance the firm's distribution and capital markets compliance programs
• Manage regulatory filings and reporting obligations, including Form ADV and Form PF
• Draft and enhance compliance policies, procedures, and controls
• Conduct compliance testing, monitoring, and training initiatives
• Partner with business stakeholders on new products, growth initiatives, and regulatory matters
• Monitor regulatory developments and help implement compliance best practices

Qualifications

• 4+ years of compliance experience at an asset manager, private fund adviser, or alternative investment firm
• Must have significant marketing review experience
• Strong knowledge of the SEC Marketing Rule and its application to private fund marketing
• Experience reviewing investor-facing materials, DDQs, and fundraising-related communications
• Bachelor's degree required; advanced degree a plus
• Strong communication, organizational, and project management skills