Sr. Compliance Consultant

Our client is seeking a Senior Compliance Specialist to support and enhance the compliance program for a newly launched investment fund platform. This role will partner closely with Legal, Product, Operations, and external service providers to ensure compliance with SEC, FINRA, and investment management regulations.

Key Responsibilities

• Support and maintain compliance policies, procedures, manuals, and supervisory controls.
• Monitor regulatory developments and implement necessary compliance updates.
• Conduct compliance testing, monitoring, and oversight of fund, adviser, and third-party service provider activities.
• Support regulatory examinations, audits, inquiries, and remediation efforts.
• Assist with regulatory filings, board reporting, fund governance, and disclosure reviews.
• Coordinate with internal teams and external vendors to ensure compliant fund operations.
• Deliver compliance training and promote a strong culture of compliance.
• Support compliance programs under the Investment Company Act of 1940 and Investment Advisers Act of 1940.
• 5-10 years of compliance experience within investment management, asset management, or financial services.
• Experience with registered funds, Rule 38a-1, and/or Rule 206(4)-7 compliance requirements.
• Knowledge of fund and adviser operations, regulatory filings, disclosure reviews, and service provider oversight.
• Experience interacting with the SEC and other regulatory agencies.
• Strong communication, collaboration, and project management skills.
• Hands-on, proactive approach with the ability to build and enhance compliance programs in a growing environment.