A global investment manager seeks a Compliance Manager to focus on advising and assisting the business divisions in the growing alternatives investments space, including hedge funds, private equity, private debt funds, and the related portfolio investments.

The Compliance Manger will be responsible for the following matters:

  • Help evaluate the adequacy and effectiveness of the firm’s policies, procedures and internal controls
  • Work closely with the Deputy CCO, Legal team and investment teams in the alternatives space to support the expanding alternatives platform
  • Provide monitoring and oversight over traditional equity, fixed income, and multi-asset strategies
  • Responsible for reviews with respect to trading activities, i.e. trade allocations and market abuse (i.e. insider dealing, front running, etc.)
  • Investigate compliance issues as needed and report findings back to the Chief or Deputy Chief Compliance Officer
  • Perform general compliance and operational risk related functions as instructed


  • 6+ years in a compliance function and/or operational risk within the asset management industry
  • Good interpersonal skills and effective writing, analytical, and communication skills
  • Full knowledge of the Adviser’s Act
  • Knowledge of derivatives is a plus
  • Experience working in the alternative investment space is strongly preferred
  • Experience implementing systems and processes is necessary
  • BS/BA

Other Skills & Abilities:

  • Must be detail oriented
  • Ability to work independently and as part of a team
  • Computer proficient, including Microsoft office suite, especially excel.
  • Excellent written and verbal communication skills
  • Ability to prioritize effectively and meet both fixed and shifting deadlines

Please email resumes to Jack Kelly at JKelly@ComplianceSearch.com

Also, please visit our job board and news blog at www.ComplianceX.com and www.ComplianceJobs.com

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