Vice President, Compliance Officer (Private Funds)

Total Compensation is targeted at $275K - $425K. To be determined based on candidate's credentials, experiences, and potential value to the department / firm.

Vice President, Compliance Officer (Private Funds)

Position Overview

Our client is a leading global alternative investment management firm with diversified strategies across private equity, private credit, real estate, infrastructure, and hedge fund solutions is seeking to hire a Vice President, Compliance Officer. Recognized for investment excellence, operational scale, and fiduciary commitment, the firm manages capital on behalf of institutional investors, sovereign wealth funds, family offices, and high-net-worth individuals globally.

The firm’s complex platform includes a range of commingled funds, co-investment vehicles, and separately managed accounts, positioning it among the industry’s most sophisticated private markets managers.

The Vice President, Compliance Officer will join the firm’s global Compliance team, providing dedicated coverage to the firm’s private fund businesses, including private equity, private credit, and real estate strategies. This role is responsible for supporting the ongoing development, execution, and enhancement of the firm’s compliance framework to meet SEC, CFTC, NFA, and other global regulatory obligations.

Reporting to a senior member of the Compliance leadership team, the Vice President will collaborate cross-functionally with legal, investment, operations, and investor relations teams to oversee daily compliance activities, regulatory change initiatives, and special projects.

The ideal candidate will bring substantial experience supporting large, multi-strategy private fund managers operating as SEC-registered investment advisers.

Responsibilities will include (but not be limited to):

• Regulatory Program Management

1. Monitor, interpret, and implement policies to ensure compliance with SEC, CFTC, NFA, and other applicable regulatory requirements.
2. Manage regulatory filings including Form ADV, Form PF, Form D, and other regulatory disclosures.
3. Support the management of regulatory examinations, audits, and inquiries.

• Fund and Transactional Compliance Oversight

1. Advise on compliance requirements relating to fund formation, capital raising, marketing, and investor communications.
2. Review and approve fund marketing materials, presentations, and offering documents to ensure regulatory compliance.
3. Partner with investment teams on deal-specific compliance matters, including MNPI controls, conflicts management, and restricted list administration.

• Policy Development and Training

1. Draft, update, and maintain compliance policies and procedures relevant to private fund operations.
2. Lead the development and delivery of employee compliance training programs.

• Surveillance and Testing

1. Execute periodic compliance monitoring and testing focused on private fund activities.
2. Oversee personal trading monitoring, gifts and entertainment tracking, and employee certifications.

• Stakeholder Engagement

1. Serve as a trusted compliance advisor to investment professionals, operations teams, legal, and investor relations.
2. Liaise with external counsel, regulators, and industry bodies as necessary.

Qualifications:

• Minimum of 8-10 years of compliance experience at a leading asset manager, private fund adviser, or law firm.
• Bachelor’s degree required; JD, MBA, or professional compliance certification (e.g., IACCP) preferred.
• Deep knowledge of the Investment Advisers Act of 1940, SEC regulations, and CFTC/NFA rules.
• Demonstrated experience supporting private equity, credit, real estate, or other private fund strategies.
• Strong familiarity with fund structures such as commingled funds, SMAs, co-investments, and parallel vehicles.
• Experience with regulatory filings (ADV, PF, D) and SEC marketing rule compliance.
• Excellent organizational, analytical, and communication skills.
• Ability to advise senior stakeholders and manage competing priorities in a fast-paced environment.
• High integrity and sound judgment.
• Strong interpersonal skills with a collaborative, business-minded approach.
• Ability to operate with discretion and professionalism.