Compliance Attorney; Investment Adviser

Job Overview – Compliance Attorney (Investment Adviser)

Compensation: $200,000 – $300,000/year base ($425,000 All-In)

Location:

New York, NY

Schedule:

Monday to Friday (In-Office)

Atlantic Group is hiring a Compliance Attorney (Investment Adviser) in New York, NY for our client, supporting investment adviser compliance and regulatory oversight within an alternative asset management environment. In this role, you will manage compliance programs, oversee regulatory filings, and advise investment teams on federal securities laws, including the Investment Advisers Act. You will partner with senior leadership to support reporting, systems, and internal controls.

• Compliance Program Management: Maintain and enhance the investment adviser compliance program, including policies, procedures, and testing.
• Regulatory Filings: Prepare and review regulatory filings such as Form ADV, Form PF, and related disclosures.
• Advisory Support: Provide guidance to investment teams on compliance policies, regulatory requirements, and risk considerations.
• Regulatory Exams: Support preparation for and response to regulatory examinations and inquiries.
• Compliance Oversight: Administer code of ethics policies and conduct compliance testing across key areas including trading, expenses, and valuation.

• Education: Bachelor’s degree is required, and a Juris Doctor (JD) is required.
• Experience: 5–10 years of compliance experience within an investment adviser or alternative asset management environment is required.
• Industry Knowledge: Strong understanding of the Investment Advisers Act, federal securities laws, and compliance frameworks within private equity, credit, or insurance strategies is preferred.
• Technical
  
  Skills:
  
  Proficiency in Microsoft Office and experience with compliance systems and reporting tools is required.
• Skills & Attributes: Demonstrates strong attention to detail, organizational skills, communication abilities, and the ability to manage multiple priorities in a fast-paced environment.

Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.