Senior Compliance Lead for SEC-Registered Funds

Alexander Chapman; New York (NY); On-site; USD 80,000 - 120,000; Full time

Job summary

Alexander Chapman is seeking an experienced Compliance Officer in New York to support a leading SEC-registered investment adviser platform. The role involves managing compliance programs, assisting fund launches, and ensuring adherence to regulatory requirements.

The ideal candidate will have a Bachelor’s degree in law or finance, at least 5 years of compliance experience, and strong knowledge of SEC regulations. Join a dynamic team in a fast-paced global environment.

Qualifications

• 5+ years of compliance experience within an SEC-registered investment adviser or hedge fund environment.
• Familiarity with NFA requirements.
• Experience managing or overseeing compliance programs.

Responsibilities

• Support the CCO in building, maintaining, and enhancing the compliance program.
• Assist with the launch of new funds and ongoing maintenance.
• Lead core compliance activities and develop compliance policies.

Skills

Strong knowledge of SEC investment adviser regulations

Compliance program management

Risk identification

Regulatory reporting

Education

Bachelor’s degree in law, finance, business management, or related field

Job description

Alexander Chapman is seeking an experienced Compliance Officer in New York to support a leading SEC-registered investment adviser platform. The role involves managing compliance programs, assisting fund launches, and ensuring adherence to regulatory requirements.

The ideal candidate will have a Bachelor’s degree in law or finance, at least 5 years of compliance experience, and strong knowledge of SEC regulations. Join a dynamic team in a fast-paced global environment.