Senior Compliance Leader, Alternatives Investments

The Bachrach Group; New York (NY); On-site; USD 140,000 - 190,000; Full time

Job summary

The Bachrach Group is seeking a Senior Compliance Officer in New York, NY to support the Alternative business, including investments in Direct Real Estate, Infrastructure Debt, and Private Credit. The role focuses on developing policies, maintaining regulatory expertise, and ensuring timely handling of compliance issues.

Ideal candidates will have 7+ years in investment advisory compliance with knowledge of the Investment Advisers Act and related regulations, plus a Bachelor's degree; JD or

Qualifications

• 7+ years of investment advisory compliance experience.
• Expertise in Alternative products (direct real estate, private credit, and infrastructure) preferred.
• Legal/compliance experience with knowledge of the Investment Advisers Act, Investment Company Act, and other regulations for investment management operations.

Responsibilities

• Create policies and procedures that adhere to federal securities laws.
• Maintain expertise in the regulatory environment and industry practices.
• Ensure timely escalation, evaluation, investigation, and resolution of compliance issues.
• Review and approve new product offerings.
• Conduct annual risk assessments of business controls.
• Collaborate with the senior management team on global and regional projects and annual risk assessment.
• Lead initiatives to implement best practices.

Skills

Investment advisory compliance

Regulatory environment

Leadership & collaboration

Policy development

Education

Bachelor's degree

JD or advanced degree preferred

Job description

The Bachrach Group is seeking a Senior Compliance Officer in New York, NY to support the Alternative business, including investments in Direct Real Estate, Infrastructure Debt, and Private Credit. The role focuses on developing policies, maintaining regulatory expertise, and ensuring timely handling of compliance issues.

Ideal candidates will have 7+ years in investment advisory compliance with knowledge of the Investment Advisers Act and related regulations, plus a Bachelor's degree; JD or