Senior Compliance Officer

Rutherford; New York (NY); On-site; USD 180,000 - 260,000; Full time

Job summary

Rutherford, a leading private credit manager in New York, seeks a senior regulatory professional to be the right hand to its Chief Compliance Officer. You will sit in a lean, high-performing team and partner with senior leadership as the business expands across asset management, private credit funds, BDCs, and new products.

The role involves advising on the Advisers Act and the Investment Company Act, guiding policy development, risk assessment, and the embedding of regulatory changes into

Qualifications

• A JD and an active license to practice in any US state.
• 8–10 years of compliance or regulatory experience in asset management.
• Experience with registered investment advisers and BDCs or other 40 Act vehicles.
• Private debt experience preferred; SEC experience or in-house exposure is a plus.
• Strong judgment and clear, concise communication to diverse audiences.

Responsibilities

• Act as a trusted advisor on the Advisers Act, the Investment Company Act and global regulation.
• Help run the compliance program, including policies, procedures, risk assessment and enhancements.
• Lead the implementation of new regulatory requirements from interpretation to embedding them in the business.
• Spot areas of compliance risk and design corrective action plans.
• Represent Compliance on firm-wide projects and cross-functional teams.

Skills

Regulatory compliance

Advisers Act knowledge

Risk assessment

Communication

Education

Juris Doctor (JD)

Tools

GRC tools

Job description

A leading private credit manager is hiring a senior regulatory professional to be the right hand to its Chief Compliance Officer.

The firm is expanding its asset management platform and pushing into the wealth channel through its non-traded BDC. Compliance is a business partner here, not a brake on the business. You would sit in a seven-person team, report directly to the CCO and work closely with senior leadership. The role has a clear path to Deputy CCO.

The role

• Act as a trusted advisor on the Advisers Act, the Investment Company Act and global regulation across the firm’s private credit funds, BDCs and new products.
• Help run the compliance program, including policies, procedures, the risk assessment and ongoing enhancements as the firm enters new products and jurisdictions.
• Lead the implementation of new regulatory requirements from interpretation through to embedding them in the business.
• Spot areas of compliance risk, design corrective action plans and give practical guidance on preventing them recurring.
• Represent Compliance on firm-wide projects and cross-functional teams, alongside day-to-day advisory work.

What you’ll bring

• A JD and an active license to practice in any US state.
• 8–10 years of compliance or regulatory experience in asset management.
• Hands-on experience with both registered investment advisers and BDCs or other ‘40 Act vehicles. This combination is essential.
• Private debt experience is preferred. Law firm, in-house or SEC experience is a plus.
• The judgement to identify issues, propose practical solutions and escalating to leadership with confidence.
• Clear, concise communication, adapted to audiences from deal teams to regulators.
• A roll-up-the-sleeves attitude. The team is lean and high-performing, and no task is too small.