Job Description

Key Responsibilities:

• Ensure Ongoing Compliance with the Investment Company Act of 1940, SEC rules, and other applicable federal securities laws.
• Prepare and file required regulatory documents, including Forms ADV, 13F, and other disclosures mandated by the SEC and other regulatory bodies.
• Work closely with legal counsel and operations teams to review offering documents, fund governance materials, and investment strategies for compliance implications.
• Monitor changes in applicable laws and regulations and advise senior management on potential impacts and required actions.
• Assist in the development, implementation, and maintenance of the firm’s compliance policies and procedures.
• Conduct periodic compliance testing, surveillance, and risk assessments in line with the firm’s compliance program.

Qualifications:

• Bachelor’s degree required; JD, MBA, or advanced degree preferred.
• 6+ years of compliance experience with an investment adviser, hedge fund, mutual fund, or law firm with a focus on 1940 Act regulations.
• In-depth understanding of the Investment Company Act of 1940, SEC reporting requirements, and hedge fund structures.
• Experience preparing and filing SEC forms such as ADV, 13F, and 13D/G.
• Excellent analytical, organizational, and communication skills.

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