Compliance Manager

Compliance Manager

Overview:

The Compliance Manager serves as a core execution resource supporting outsourced CCO engagements and broader compliance consulting projects. This role is responsible for day-to-day compliance program support, testing, regulatory filings, and client deliverables, while developing toward a future CCO or senior advisory role.

Responsibilities:

Client Service & Program Execution

·      Support outsourced CCO engagements across RIAs, ERAs, private fund advisers, and broker-dealers

·      Assist in administration of compliance programs under Rule 206(4)-7

·      Draft and update compliance manuals, policies, and procedures

·      Conduct compliance testing (annual reviews, risk assessments, thematic reviews)

·      Monitor regulatory developments and prepare client alerts

Regulatory Filings & Reporting

·      Prepare and support filings including; Form ADV (Parts 1 & 2), Form PF (supporting data collection), Form D, 13F / 13D / 13G (as applicable)

·      Maintain filing calendars and ensure timely submissions

Operational Compliance

·      Support Code of Ethics administration (personal trading, attestations, certifications)

·      Assist with vendor due diligence and cybersecurity oversight support (Reg S-P alignment

·      Participate in SOC 1/SOC 2 reviews and service provider oversight

Client Relationships

·      Participate in client calls and internal compliance meetings

·      Respond to routine client inquiries with supervision

·      Escalate complex regulatory issues appropriately

 

 

Qualifications

·      Experience: 3–7+ years of relevant experience in Investment adviser compliance, Consulting firms, and/or in-house compliance roles at RIAs, private funds, or broker-dealers

·      Technical Knowledge with strong understanding of Investment Advisers Act of 1940, SEC Marketing Rule and Private fund structures and Reg D offerings. Familiarity with Registered funds (’40 Act) basics (preferred but not required) and Custody Rule and valuation concepts.

Ø Core Competencies; Detail-oriented with strong organizational skills, Ability to manage multiple clients and deadlines, Strong writing and documentation skills, Analytical thinker with problem-solving ability, Collaborative team player with client-service mindset