The Opportunity
Our client, a leading global alternative investment manager, is seeking a Senior Compliance Manager to join its Chicago office. This is an exceptional opportunity to become a key member of a lean, highly collaborative compliance team where you'll have meaningful ownership, direct access to senior leadership, and the ability to influence the firm's compliance program as the business continues to grow.
Unlike larger organizations where responsibilities can become highly specialized, this role offers broad exposure across the business. You'll partner closely with Legal, Trading, Operations, Investor Relations, and senior management on a wide range of regulatory and compliance matters while helping shape best practices across the firm.
This position is ideal for a compliance professional looking for greater visibility, increased responsibility, and a long-term growth opportunity within a premier hedge fund.
Key Responsibilities
Own and manage key components of the firm's compliance program, including:
- Trading surveillance
- Personal trading monitoring
- Outside business activity reviews
- Marketing and investor communications review
- Vendor and counterparty due diligence
- Partner with Legal and senior compliance leadership on regulatory filings, including Form ADV, Form PF, and other SEC/CFTC reporting requirements.
- Conduct ongoing compliance testing, monitoring, and periodic reviews to identify risks and enhance existing controls.
- Assist in the development, implementation, and maintenance of firm policies and procedures.
- Support employee compliance training and promote a strong culture of ethics and regulatory awareness.
- Respond to regulatory inquiries and assist with SEC examinations and audit readiness.
- Help build and improve compliance infrastructure, workflows, and technology to support the firm's continued growth.
- Advise internal stakeholders on regulatory matters and provide practical, business-focused compliance guidance.
Qualifications
- 7+ years of compliance experience within a hedge fund, alternative asset manager, private fund, or SEC-registered investment adviser.
- Strong knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements.
- Experience with Form ADV, Form PF, Code of Ethics administration, personal trading surveillance, marketing rule compliance, and regulatory testing.
- Familiarity with SEC examinations and compliance monitoring programs.
- Excellent analytical, communication, and problem-solving skills.
- Ability to build strong relationships across Legal, Trading, Operations, Investor Relations, and senior business leaders.
- Self-motivated professional who thrives in a collaborative, entrepreneurial environment and enjoys taking ownership of high-impact initiatives.
Why This Opportunity?
- Join one of the industry's premier alternative investment firms.
- Gain broad exposure across the firm's investment platform and business operations.
- Work directly with senior leadership and play a meaningful role in shaping the firm's compliance function.
- Enjoy significant ownership, visibility, and opportunities for long-term career growth within a high-performing organization.