Senior Compliance Counsel, Asset Management & 40 Act

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

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