Senior Compliance Lead — AI-Driven Funds & Regulatory

Fernridge Group; New York (NY); On-site; USD 150,000 - 190,000; Full time

Job summary

Fernridge Group is seeking an Associate Director to lead its Compliance team in New York. This role owns major risk areas, drives process improvements, and partners with Technology and Operations to deploy compliant AI-enabled tools.

The ideal candidate will be business-minded, highly accountable, and comfortable working independently in a fast-paced environment, with a track record in private funds and regulatory submissions.

Qualifications

• 4–8 years’ compliance or related experience with a registered investment adviser.
• Familiarity with private funds and applicable SEC requirements.
• Strong organizational, analytical and communication skills.
• Ability to work independently with limited supervision.
• Collaborative and service-oriented approach with business stakeholders.
• Ability to manage competing priorities in a fast-paced environment.
• Genuine interest in technology, automation and process improvement.

Responsibilities

• Own end-to-end review and approval of marketing materials for compliance.
• Ensure materials meet SEC Marketing Rule, FINRA standards and other rules.
• Lead preparation and filing of Form ADV, Form PF and other regulatory submissions.
• Monitor regulatory developments and translate into practical guidance.
• Coordinate responses to due diligence, examinations, and regulatory requests.
• Maintain and update compliance policies, manuals and references.
• Identify initiatives to improve efficiency and scalability of the program.
• Evaluate AI-enabled tools and automation in monitoring and reporting.
• Partner with tech and operations to implement compliant tech use cases.
• Manage compliance for offshore fund vehicles and new launches.
• Oversee lender registration processes and ongoing control-person data.
• Conduct internal testing to assess policy effectiveness.
• Identify gaps, raise findings and propose practical solutions.
• Support cross-functional projects per evolving priorities.

Skills

Regulatory compliance

Analytical skills

Written and verbal communication

Independent work

Stakeholder collaboration

Attention to detail

Technology and automation interest

Job description

Fernridge Group is seeking an Associate Director to lead its Compliance team in New York. This role owns major risk areas, drives process improvements, and partners with Technology and Operations to deploy compliant AI-enabled tools.

The ideal candidate will be business-minded, highly accountable, and comfortable working independently in a fast-paced environment, with a track record in private funds and regulatory submissions.