Alexander Chapman
Senior Compliance Associate
Alexander Chapman, Santa Monica, California, United States, 90403
Overview
Compliance Associate Venture Capital & Private Equity at a Leading Investment Firm (100B AUM). This hands-on role offers broad exposure across the compliance function, supporting senior leadership in ensuring regulatory obligations are met while fostering a culture of integrity. Base pay range
$150,000.00/yr - $200,000.00/yr Compensation
Compensation: Base salary up to $200,000 Why Join
This role is an excellent opportunity to gain meaningful exposure across the compliance spectrum within a top-tier investment platform. You will work closely with senior compliance leaders and business teams in a collaborative, high-performing environment. Key Responsibilities
Support the compliance program by assisting with regulatory filings (Form ADV, Form PF, 13F/13H) and annual reviews Monitor new regulatory developments and help assess their impact on the firms activities Review marketing and investor-facing materials to ensure compliance with SEC requirements Assist in maintaining and updating compliance policies, procedures, and the Code of Ethics Partner with investment, finance, and legal teams on day-to-day compliance questions Help administer compliance technology systems (e.g., personal trading, gifts/entertainment, marketing review workflows) Support training, monitoring, and testing activities to promote a strong culture of compliance Liaise with external counsel, administrators, and auditors as needed Qualifications
7+ years of compliance experience within investment management, private equity, hedge funds, or regulatory consulting Working knowledge of SEC regulations, particularly the Investment Advisers Act of 1940 Familiarity with core filings (Form ADV, Form PF, 13F, 13H) and compliance systems Strong organizational skills, attention to detail, and ability to manage multiple priorities Excellent written and verbal communication skills Bachelors degree required; legal or paralegal background a plus Senioriry level
Associate Employment type
Full-time Job function
Legal Industries
Venture Capital and Private Equity Principals and Investment Management
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Compliance Associate Venture Capital & Private Equity at a Leading Investment Firm (100B AUM). This hands-on role offers broad exposure across the compliance function, supporting senior leadership in ensuring regulatory obligations are met while fostering a culture of integrity. Base pay range
$150,000.00/yr - $200,000.00/yr Compensation
Compensation: Base salary up to $200,000 Why Join
This role is an excellent opportunity to gain meaningful exposure across the compliance spectrum within a top-tier investment platform. You will work closely with senior compliance leaders and business teams in a collaborative, high-performing environment. Key Responsibilities
Support the compliance program by assisting with regulatory filings (Form ADV, Form PF, 13F/13H) and annual reviews Monitor new regulatory developments and help assess their impact on the firms activities Review marketing and investor-facing materials to ensure compliance with SEC requirements Assist in maintaining and updating compliance policies, procedures, and the Code of Ethics Partner with investment, finance, and legal teams on day-to-day compliance questions Help administer compliance technology systems (e.g., personal trading, gifts/entertainment, marketing review workflows) Support training, monitoring, and testing activities to promote a strong culture of compliance Liaise with external counsel, administrators, and auditors as needed Qualifications
7+ years of compliance experience within investment management, private equity, hedge funds, or regulatory consulting Working knowledge of SEC regulations, particularly the Investment Advisers Act of 1940 Familiarity with core filings (Form ADV, Form PF, 13F, 13H) and compliance systems Strong organizational skills, attention to detail, and ability to manage multiple priorities Excellent written and verbal communication skills Bachelors degree required; legal or paralegal background a plus Senioriry level
Associate Employment type
Full-time Job function
Legal Industries
Venture Capital and Private Equity Principals and Investment Management
#J-18808-Ljbffr