Senior Compliance Professional

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

Compliance Officer | SEC Registered Investment Adviser / Hedge Fund Platform

US-Based | Reporting to Chief Compliance Officer

We are seeking an experienced Compliance Officer to support a sophisticated investment management platform operating within SEC-registered investment adviser and fund structures. The role offers exposure to fund launches, ongoing fund maintenance, regulatory reporting, and core compliance program oversight within a fast-paced, global environment.

What you’ll do:

• Support the CCO in building, maintaining, and enhancing the compliance program for SEC-registered investment advisers
• Assist with the launch of new funds and ongoing maintenance of existing funds, including process design and risk identification
• Lead core compliance activities including conflicts of interest, personal trading, outside business activities, registration, and employee training
• Develop, implement, and maintain compliance policies and procedures aligned with regulatory requirements
• Provide ongoing guidance to business leaders and employees on regulatory and compliance matters
• Collaborate with global compliance teams to ensure consistency across initiatives such as wall crossings, trade surveillance, and monitoring activities
• Prepare and review regulatory filings including Form ADV, Form 13F, Form PF, and Form CPO-PQR
• Review marketing materials, DDQs, and client communications, often under tight deadlines
• Support SEC and other regulatory examinations, inquiries, and audits

We are looking for someone with a Bachelor’s degree in law, finance, business management, or a related field and 5+ years of compliance experience within an SEC-registered investment adviser or hedge fund environment. Strong knowledge of SEC investment adviser regulations and related filings, as well as familiarity with NFA requirements, is required. Experience managing or overseeing compliance programs is essential.