Jobot
Overview
Compliance Manager role within a top investment firm. Flexible hybrid schedule. Salary range: $140,000.00/yr - $200,000.00/yr. This Jobot Job is hosted by Scott Rundlett. What Youll Do
Provide compliance support for capital markets business units, with a focus on registered and private fund operations. Administer restricted list protocols and manage material non-public information (MNPI) processes. Partner with investment and trading teams to address compliance-related questions and ensure regulatory alignment. Coordinate and oversee regulatory filings, including Form ADV and Form PF, working with finance, operations, and compliance teams. Maintain centralized filing calendars and ensure timely submission of required reports. Compile compliance data for investor questionnaires and regulatory reports. Assist with regulatory inquiries, exams, and internal testing activities. Develop and maintain policies and procedures related to business unit compliance. Review marketing materials and support long-term compliance initiatives. Prepare presentations and reporting for internal committees and senior stakeholders. What Were Looking For
8+ years of experience in compliance, regulatory filings, or paralegal work within financial services. Strong knowledge of registered and private fund structures, including 1940 Act and credit vehicles. Demonstrated experience with Form ADV, Form PF, and other regulatory filings. Excellent organizational and time management skills; ability to manage multiple projects with precision. Strong written and verbal communication skills. Ability to handle sensitive information with discretion and professionalism. Collaborative mindset with strong interpersonal skills and a customer service orientation. Creative problem-solving and analytical abilities. About Jobot & Equal Opportunity
Jobot is an Equal Opportunity Employer. We provide an inclusive work environment that celebrates diversity and all qualified candidates receive consideration for employment without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. Sometimes Jobot is required to perform background checks with your authorization. Jobot will consider qualified candidates with criminal histories in a manner consistent with any applicable federal, state, or local law regarding criminal backgrounds. How to Apply
Interested in hearing more? Easy Apply now by clicking the "Easy Apply" button and sending us your resume. Salary information: $140,000 - $200,000 per year. Flexible Hybrid Schedule - Top Investment Firm. #J-18808-Ljbffr
Compliance Manager role within a top investment firm. Flexible hybrid schedule. Salary range: $140,000.00/yr - $200,000.00/yr. This Jobot Job is hosted by Scott Rundlett. What Youll Do
Provide compliance support for capital markets business units, with a focus on registered and private fund operations. Administer restricted list protocols and manage material non-public information (MNPI) processes. Partner with investment and trading teams to address compliance-related questions and ensure regulatory alignment. Coordinate and oversee regulatory filings, including Form ADV and Form PF, working with finance, operations, and compliance teams. Maintain centralized filing calendars and ensure timely submission of required reports. Compile compliance data for investor questionnaires and regulatory reports. Assist with regulatory inquiries, exams, and internal testing activities. Develop and maintain policies and procedures related to business unit compliance. Review marketing materials and support long-term compliance initiatives. Prepare presentations and reporting for internal committees and senior stakeholders. What Were Looking For
8+ years of experience in compliance, regulatory filings, or paralegal work within financial services. Strong knowledge of registered and private fund structures, including 1940 Act and credit vehicles. Demonstrated experience with Form ADV, Form PF, and other regulatory filings. Excellent organizational and time management skills; ability to manage multiple projects with precision. Strong written and verbal communication skills. Ability to handle sensitive information with discretion and professionalism. Collaborative mindset with strong interpersonal skills and a customer service orientation. Creative problem-solving and analytical abilities. About Jobot & Equal Opportunity
Jobot is an Equal Opportunity Employer. We provide an inclusive work environment that celebrates diversity and all qualified candidates receive consideration for employment without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. Sometimes Jobot is required to perform background checks with your authorization. Jobot will consider qualified candidates with criminal histories in a manner consistent with any applicable federal, state, or local law regarding criminal backgrounds. How to Apply
Interested in hearing more? Easy Apply now by clicking the "Easy Apply" button and sending us your resume. Salary information: $140,000 - $200,000 per year. Flexible Hybrid Schedule - Top Investment Firm. #J-18808-Ljbffr