Senior Compliance Officer & Regulatory Counsel

Innocap Investment Management Inc.; New York (NY); Hybrid; USD 120,000 - 160,000; Full time

Job summary

A leading firm in managed account platform services is seeking a Senior Compliance Officer & Regulatory Counsel. This role involves providing expert legal advice on regulatory matters, ensuring compliance with U.S. financial regulations, and managing compliance programs. The successful candidate will work closely with executive management and regulatory bodies to maintain high compliance standards while supporting strategic objectives. This position offers a flexible hybrid work environment, fostering a culture of inclusivity and innovation.

Benefits

Flexible hybrid work

Continuous growth opportunities

Collaborative culture

Qualifications

• Minimum of 7 years of legal experience in investment management.
• Extensive knowledge of U.S. securities laws and compliance requirements.

Responsibilities

• Advise on regulatory compliance for investment funds.
• Oversee regulatory filings and compliance program management.
• Serve as liaison with U.S. regulatory authorities.

Skills

Legal Research

Analytical Skills

Communication

Education

Juris Doctor (JD)

Job description

Senior Compliance Officer & Regulatory Counsel page is loaded

Senior Compliance Officer & Regulatory Counsel

Apply locations New York USA - Remote time type Full time posted on Posted 2 Days Ago job requisition id JR100043

ABOUT INNOCAP

Innocap is the world’s leading firm of managed account platform services. With over US$85 billion in assets under management, over 450 employees and offices in five countries, we are shaping the future of alternative investments for institutional owners and allocators. Our mission is to revolutionize the asset management industry and to provide customized expert services and an exceptional client experience.

We are seeking forward-thinking individuals to join us on our exciting journey. Innocap’s success is built on the diversity of our people and the strength of their ambitions. We empower our teams and foster a culture of inclusivity, collaboration, innovation, and growth. At Innocap, you'll have the opportunity to enhance your career, work on exciting projects, and make a real impact.

ABOUT THE ROLE

We are seeking a highly motivated Senior Compliance Officer/Regulatory Counsel to join our compliance team in the investment funds/dedicated managed accounts sector. The successful candidate will provide expert legal advice and guidance on regulatory and compliance matters related to the firm and its investment vehicles, including hedge funds, and separately managed accounts. This position requires a deep understanding of U.S. financial regulations and the ability to advise on regulatory issues in the investment funds space. This role involves close interaction with executive management, regulatory bodies and internal departments to maintain a culture of compliance while supporting the firm’s strategic objectives.

KEY RESPONSIBILITIES

Regulatory compliance and guidance:

• Advise on the regulatory framework governing investment funds and managed accounts, including compliance with the Investment Company Act of 1940, Investment Advisers Act of 1940, the Securities Act of 1933 and ERISA.
• Serve as the primary liaison between the firm and U.S. federal and state regulatory authorities, handling enquiries, examinations, and audits.
• Monitor changes in regulations and advise on regulatory requirements and best practices.
• Provide strategic advice on compliance matters, especially during the launch of new products and services.

Regulatory Filings and Reporting

• Oversee regulatory filings and reports to the SEC, CFTC, and other US regulatory bodies, ensuring compliance with filing deadlines and requirements.
• Review and prepare periodic reports for investors and regulatory authorities, including Form ADV, CPO/PQR and other regulatory filings.

Compliance program management:

• Oversee Innocap U.S. entities’ compliance program, including policies and procedures.
• Establish and maintain controls and frameworks to monitor compliance with SEC and CFTC and other applicable regulatory bodies.
• Lead annual and ad-hoc compliance risk assessments to evaluate program effectiveness.
• Oversee the development and delivery of compliance training programs for employees, including annual mandatory training and ad-hoc training sessions for higher-risk areas.
• Assist in the creation of compliance manuals and guides for internal stakeholders.

PRIMARY QUALIFICATIONS & SKILLS

• Juris Doctor (JD) from an accredited law school.
• Previous in-house experience at a financial services firm or investment management firm.
• Previous experience in an in-house or outsourced compliance function.
• Minimum of 7 years of legal experience within the investment management/financial services industry.
• Extensive knowledge of U.S. securities laws, including the Investment Company Act, Investment Advisers Act, ERISA and SEC regulations and related compliance requirements.
• Experience with regulatory filings, compliance matters and fund structuring.
• Excellent legal research, analytical, and writing skills.
• Strong communication skills, with the ability to explain regulatory concepts to non-legal/compliance professionals.
• Ability to adapt to changing regulatory landscapes and evolving business needs.

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Innocap's Global Privacy Notice

At Innocap, we strive to create a workplace where everyone can thrive, innovate, and make a real impact.
Our culture is rooted in collaboration, entrepreneurial spirit, and a shared ambition to push boundaries.

A culture that values creativity, proactivity, and continuous growth

Flexible hybrid work for better balance

A strong focus on service excellence and meaningful partnerships

Joining Innocap means being part of a passionate team where innovation is encouraged, and every voice matters.