Investment Compliance Manager (with flex to Associate)

Origin Staffing; Massachusetts; On-site; USD 90,000 - 140,000; Full time

Job summary

Origin Staffing is recruiting an Investment Compliance professional to join the Legal & Compliance team of a private investment firm in Boston.

The role can be Associate or Manager depending on experience, with a broad, hands-on remit in private equity and credit, collaborating with the Chief Compliance Officer and cross‑functional teams.

The role covers regulatory filings, marketing review, testing, Code of Ethics, investment monitoring, and fundraising activity across the program.

Qualifications

• 4–7 years of compliance experience in investment management or financial services.
• Experience in private equity, private funds, or alternative asset management preferred.
• Experience with marketing materials review, compliance testing, regulatory filings, and ethics policies.
• Strong communication and ability to work with senior professionals across the business.

Responsibilities

• Support Form ADV, Form PF, and other regulatory filings.
• Review marketing materials, DDQs, and investor communications.
• Administer and enhance the compliance testing program.
• Monitor investment activity against guidelines and side letters.
• Support Code of Ethics administration, and employee training.
• Research regulatory developments and update policies.
• Collaborate with Legal, Investor Relations, Finance, IT, and Investment teams on compliance initiatives.

Skills

Communication skills

Cross-functional collaboration

Attention to detail

Tools

Regulatory filings

Job description

We’re looking for an Investment Compliance professional to join the Legal & Compliance team of a highly regarded private investment firm in Boston.

The role can be leveled at either the Associate or Manager level depending on experience. This is a broad, hands‑on position supporting the firm’s private equity and credit strategies and working closely with the Chief Compliance Officer, Investor Relations, Finance, IT, Legal, and Investment teams.

The opportunity offers strong exposure across the compliance program, including regulatory filings, marketing review, testing, Code of Ethics, investment monitoring, and fundraising‑related activity.

Key Responsibilities

• Support Form ADV, Form PF, and other regulatory filings
• Review marketing materials, DDQs, and investor communications
• Administer and enhance the compliance testing program
• Monitor investment activity against guidelines, restrictions, side letters, and regulatory requirements
• Support Code of Ethics administration, employee compliance, and training
• Research regulatory developments and help update policies and procedures
• Partner across Legal, Investor Relations, Finance, IT, and Investment teams on compliance initiatives

Qualifications

• 4-7 years (for associates) or 7+ years (for managers) of compliance experience within investment management or financial services
• Private equity, private funds, alternative asset management, or investment adviser experience strongly preferred
• Experience with areas such as marketing review, compliance testing, regulatory filings, Code of Ethics, or policies and procedures
• Strong communication skills and ability to work effectively with senior professionals across the business