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The firm
Our client is an established global alternative investment manager with a multi-strategy platform spanning private equity, private credit and CLOs, and real assets. In the US, the business runs across several SEC-registered advisers plus a broker-dealer, so the compliance function sits at the centre of a genuinely varied book — not siloed into one product.
It’s a lean, senior team where the compliance group is respected internally and close to the business. That’s the appeal and the ask in one: you’ll get real breadth early, but you’re expected to own your work and move.
The role
This is a hands-on seat, not a review-and-file one. You’ll support the day-to-day compliance program across the platform — private funds, credit/CLO, and the broker-dealer side — and you’ll be trusted to run with things rather than wait to be handed a checklist. Day to day, that means:
- Reviewing marketing and investor materials against the Marketing Rule and firm policy
- Supporting Form ADV and Form PF preparation and filings
- Helping administer the compliance program under Rule 206(4)-7 and the Code of Ethics under 204A-1
- Working across the SEC-registered adviser entities and lending a hand on the broker-dealer side (FINRA/SEC)
- Getting into MNPI, restricted lists and the wall-crossing process as needed
The seat touches all three worlds — private funds, CLO and broker-dealer — which is unusual at this level and the reason it’s a strong platform to build on.
Background
- 3–6 years in investment compliance at an asset manager, alternatives firm, or comparable
- Hands-on experience with marketing/materials review, Form ADV and Form PF
- Some exposure to the broker-dealer side (FINRA/SEC) — you don’t need to have lived there, but it shouldn’t be foreign
- Familiarity with private funds and/or credit/CLO structures
- Series licenses a plus, not a prerequisite
- Most of all: proactive, organised, and genuinely keen to build a career in compliance
