Petra Funds Group
Compliance - Manager
Petra Funds Group is a single source provider for the fund administration and fund infrastructure needs of Private Equity and Debt Funds. We enable fund managers to focus on high‑value tasks while we handle the rest. Our team is made up of highly experienced professionals across the US and Europe, built on trust, accuracy, and attention to detail. What You Will Do
The Compliance Manager / Senior Compliance Manager will join Petra’s Compliance Team in assisting private equity, private credit, and venture capital investment adviser clients in developing and maintaining robust compliance programs as required by the U.S. Securities and Exchange Commission (SEC) and the Investment Advisers Act of 1940. Key Responsibilities
Develop compliance policies and procedures for private equity, private credit and venture capital registered as investment advisers or exempt reporting advisers. Lead clients through SEC registration and reporting processes. Manage and file regulatory filings including Form ADV and Form PF. Prepare and update tailored compliance manuals and codes of ethics. Conduct annual 206(4)-7 examinations and written reports. Administer testing of clients’ compliance controls and reporting such as personal trading, electronic communications and political contributions. Review marketing materials. Monitor regulatory changes and present updates to clients. Assist with anti‑money laundering and know‑your‑customer reviews. Develop and present compliance training. Assist clients with tailored compliance questions. What You’ll Need
At least 5 years of direct compliance experience consulting for or working within a private equity, private credit or venture capital investment adviser. Advanced knowledge of the Investment Advisers Act of 1940 and state laws; knowledge of the Investment Company Act of 1940 and FINRA broker‑dealer regulations is a plus. Ability to independently manage client relationships with the support of Petra’s Compliance Team. Proficiency in using the FINRA Gateway and other compliance reporting platforms. Excellent oral and written communication skills. Natural attention to detail and multi‑tasking capabilities. Salary Range
At Petra Funds Group, we are committed to transparency and equity in our hiring practices. The compensation range for this position is $92,000 - $153,000 per year. This range represents the base salary only. Actual pay will depend on factors such as qualifications, experience, and skills. Benefits
90% covered medical, dental, and vision insurance premiums. Fully funded Health Savings Account (HSA) employer contributions up to the IRS maximum for employees enrolled in our high‑deductible health plan. 401(k) employer match at 100% of your contributions up to 5% of compensation with immediate vesting. Flexible paid time off. Generous holiday calendar. Hybrid work environment. Certified Great Place to Work®, reflecting direct employee feedback about our culture. Funded amount is prorated for new hires. What We’re Proud Of
Certified Great Place to Work®, based on direct feedback from our employees about trust and overall culture. Fortune Best Medium Workplaces™ and Best Financial Services & Insurance Workplaces™, highlighting our commitment to building an environment where people thrive.
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Petra Funds Group is a single source provider for the fund administration and fund infrastructure needs of Private Equity and Debt Funds. We enable fund managers to focus on high‑value tasks while we handle the rest. Our team is made up of highly experienced professionals across the US and Europe, built on trust, accuracy, and attention to detail. What You Will Do
The Compliance Manager / Senior Compliance Manager will join Petra’s Compliance Team in assisting private equity, private credit, and venture capital investment adviser clients in developing and maintaining robust compliance programs as required by the U.S. Securities and Exchange Commission (SEC) and the Investment Advisers Act of 1940. Key Responsibilities
Develop compliance policies and procedures for private equity, private credit and venture capital registered as investment advisers or exempt reporting advisers. Lead clients through SEC registration and reporting processes. Manage and file regulatory filings including Form ADV and Form PF. Prepare and update tailored compliance manuals and codes of ethics. Conduct annual 206(4)-7 examinations and written reports. Administer testing of clients’ compliance controls and reporting such as personal trading, electronic communications and political contributions. Review marketing materials. Monitor regulatory changes and present updates to clients. Assist with anti‑money laundering and know‑your‑customer reviews. Develop and present compliance training. Assist clients with tailored compliance questions. What You’ll Need
At least 5 years of direct compliance experience consulting for or working within a private equity, private credit or venture capital investment adviser. Advanced knowledge of the Investment Advisers Act of 1940 and state laws; knowledge of the Investment Company Act of 1940 and FINRA broker‑dealer regulations is a plus. Ability to independently manage client relationships with the support of Petra’s Compliance Team. Proficiency in using the FINRA Gateway and other compliance reporting platforms. Excellent oral and written communication skills. Natural attention to detail and multi‑tasking capabilities. Salary Range
At Petra Funds Group, we are committed to transparency and equity in our hiring practices. The compensation range for this position is $92,000 - $153,000 per year. This range represents the base salary only. Actual pay will depend on factors such as qualifications, experience, and skills. Benefits
90% covered medical, dental, and vision insurance premiums. Fully funded Health Savings Account (HSA) employer contributions up to the IRS maximum for employees enrolled in our high‑deductible health plan. 401(k) employer match at 100% of your contributions up to 5% of compensation with immediate vesting. Flexible paid time off. Generous holiday calendar. Hybrid work environment. Certified Great Place to Work®, reflecting direct employee feedback about our culture. Funded amount is prorated for new hires. What We’re Proud Of
Certified Great Place to Work®, based on direct feedback from our employees about trust and overall culture. Fortune Best Medium Workplaces™ and Best Financial Services & Insurance Workplaces™, highlighting our commitment to building an environment where people thrive.
#J-18808-Ljbffr