Job Description

Job Description

Our client, a prominent investment manager, is looking to hire a Senior Compliance Officer to support their 40 Act funds.

Responsibilities:

• Supporting 1940 Act Public Vehicle and Registered Investment Company Platform.
• Oversee components of the firm’s compliance program including documentation, investment allocation oversight, and related control processes.
• Prepare and coordinate materials and minutes for board and committee meetings across the firm’s registered investment vehicles.
• Support regulatory governance obligations, including charter and exchange-related requirements.
• Collaborate with compliance technology partners to enhance systems supporting the ’40 Act compliance program.
• Maintain the firm’s regulatory filings calendar, including board and officer filings (Forms 3, 4, etc.) and other required submissions.
• Coordinate the Rule 38(a)-1 testing and monitoring program for all registered funds and public vehicles.
• Review service-provider and adviser reporting related to investment guideline compliance.
• Support regulatory exam readiness and stay current on evolving SEC and industry developments.

Requirements

• 8+ years of investment company and advisory compliance experience

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