About the role
We are currently partnering with a global alternative asset manager focused on credit. The business has grown substantially in recent years and now runs a multi-billion dollar platform across a range of fund and account structures. This is an exciting opportunity for someone either stepping into their first Chief Compliance Officer role, or a more experience Compliance leader looking to move into a growing business with a hands-on approach.
Responsibilities
- Act as designated Chief Compliance Officer for the registered investment adviser, owning the Rule 206(4)-7 programme end to end — policies, annual review, testing, training and remediation.
- Own the information barrier and MNPI framework including restricted lists, wall-crossings and conflicts management.
- Provide real-time regulatory and conflicts advice to investment professionals across the firm
- Oversee compliance across the fund and product range
- Lead all regulatory filings, examinations and investor due diligence on the compliance and governance framework, acting as principal contact for regulators and auditors.
- Advise senior leadership, Investment Committees and fund boards on regulatory, governance, conflicts and operational risk, including board-level reporting.
- Manage compliance technology, surveillance and outsourced providers, building controls that scale with new strategies, products and jurisdictions.
Experience Required
- Substantial senior compliance experience within alternative asset management, with genuine depth in credit
- Ownership of an SEC-registered adviser compliance programme, or a clear number-two position on one, and examination-tested as an accountable individual.
- A track record of building controls from scratch in a lean environment, rather than inheriting and governing mature infrastructure.
- JD qualified, though the firm seeks a career compliance professional rather than a General Counsel. Relevant certifications and FINRA registrations advantageous.
We are committed to equal opportunity and welcome applications from all qualified candidates regardless of race, colour, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other protected characteristic. All applications will be assessed solely on merit, skills and experience.
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