Senior Compliance Officer
Core
Support the firm's compliance program across registered private equity funds, private debt funds, and exchange-traded funds (ETFs), ensuring adherence to regulatory requirements and internal policies.
Role type
Senior Compliance Officer (Private Funds & ETFs)
Builds
Compliance oversight for private equity, private credit/debt, and ETF products
Domain
Asset Management / Private Funds / ETFs
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory compliance monitoring, policy development, compliance testing, risk assessment, regulatory filing preparation, board reporting, conflict of interest management, valuation procedure oversight
Preferred skills
Experience with digital asset ETFs, crypto and tokenized funds, stablecoins, Form ADV, compliance surveillance tools, marketing rule requirements
Technologies
Form ADV, compliance surveillance tools
Responsibilities
Monitor compliance with SEC regulations and fund governing documents; Conduct periodic compliance reviews and testing of key controls; Assist with preparation and review of regulatory filings; Coordinate compliance oversight for new and existing private fund and ETF products; Investigate potential compliance issues and assist in remediation efforts
Seniority
Senior, hands-on IC