Compliance Associate

A Compliance opportunity with an alternative investment management firm looking to add to its growing compliance team. This hybrid role in office 3 days a week, supports a broad range of regulatory and fund compliance activities and works closely with legal, operations, and senior Compliance leadership.

The position covers RIC and regulatory filings, fund documentation, board materials, annual compliance reviews, testing and surveillance, and policy development. You’ll also assist with regulatory exams, maintain information barriers, provide day-to-day compliance guidance, and help manage federal and international filings such as Form ADV, Form PF, and AIFMD Annex IV.

This is a hands‑on role offering exposure across fund operations, governance, and regulatory compliance.

• Regulatory filings & fund governance:
  Support RIC and global regulatory filings (e.g., Forms 3/4/5, N-series, ADV, PF, AIFMD), prepare tender offer materials, assist with registration statement updates, and coordinate board materials and meeting logistics.
• Compliance programs & reviews:
  Assist with the Funds’ 38a-1 Annual Review, conduct ongoing testing and surveillance (monthly/quarterly/annual), draft and maintain policies and procedures, support audits and regulatory exams, and help manage information barriers and restricted lists.
• Operational compliance support:
  Review investor subscriptions for AML/KYC, prepare insurance and fidelity bond applications, coordinate D&O questionnaires, perform electronic communications reviews, and provide day‑to‑day compliance guidance to employees.
• Regulatory analysis & cross‑functional collaboration:
  Monitor new and pending regulations, support updates to firm policies, collaborate on 15(c) responses, and assist senior compliance leadership with ad hoc compliance initiatives.