Senior Compliance Officer

About the Firm

We are a boutique investment management firm focused on fundamental, research-driven investing across global public markets, with deep expertise in healthcare and life sciences investing. Our collaborative and entrepreneurial culture empowers investment professionals with the autonomy to pursue differentiated ideas while leveraging the resources and intellectual capital of an experienced team.

Our investment philosophy is centered on rigorous research, disciplined risk management, and long-term value creation. We seek individuals who are intellectually curious, highly analytical, and motivated to contribute to a best-in-class investment and operational platform.

Position Overview

We are seeking an experienced Compliance Officer to lead and manage the firm's regulatory compliance program and support critical operational initiatives across the organization.

Reporting directly to the Chief Operating Officer, this individual will have primary responsibility for the firm's compliance framework under the Investment Advisers Act of 1940, including SEC filings, employee compliance, marketing review, books and records oversight, and trading activity monitoring across the firm's fund complex.

For regulatory purposes, this individual will serve as the firm's designated Compliance Officer under Rule 206(4)-7 of the Investment Advisers Act.

In addition to compliance responsibilities, this role will serve as a strategic operational partner to the Chief Operating Officer by supporting fund operations, reviewing transaction documentation, coordinating with outside counsel on corporate actions, and assisting with various operational and infrastructure initiatives.

This position offers the opportunity to play a highly visible role within a growing investment organization and to help shape the firm's compliance and operational infrastructure as the business continues to evolve.

Key Responsibilities

Regulatory Compliance Responsibilities

Serve as the firm's designated Compliance Officer under Rule 206(4)-7 of the Investment Advisers Act, maintaining overall ownership of the firm's compliance program and regulatory posture.

Design, implement, and maintain the firm's Compliance Policies & Procedures Manual, Code of Ethics, and related written supervisory procedures.

Prepare and file required regulatory filings, including:

Form ADV (Parts 1, 2A, and 2B)

Form PF

Schedule 13D and 13G filings

Form 13F

Form 13H

Blue Sky filings and other applicable regulatory submissions.

Conduct annual compliance risk assessments and maintain an ongoing compliance testing and monitoring program.

Monitor trading activity across the firm to ensure adherence to:

Best execution practices

Trade allocation procedures

Cross-trade policies

Information barrier protocols.

Administer the firm's personal trading and Code of Ethics program, including pre-clearance, reporting requirements, and periodic attestations for all access persons.

Oversee the firm's Material Non-Public Information (MNPI) controls, including maintenance of restricted and watch lists.

Manage employee compliance matters, including:

Outside business activities

Political contributions and pay-to-play requirements

Gifts and entertainment

Licensing and registration obligations.

Serve as the primary point of contact for SEC examinations, audits, and regulatory inquiries.

Maintain the firm's books and records program in accordance with Rule 204-2 requirements.

Review investor-facing marketing materials and performance communications for compliance with Rule 206(4)-1 (Marketing Rule).

Design and deliver annual compliance training programs for firm personnel.

Monitor evolving regulatory developments affecting investment advisers and private funds and update policies and procedures accordingly.

Manage relationships with outside regulatory counsel, compliance consultants, and other service providers.

Operational Support Responsibilities

Review and analyze transaction and investment documentation, including:

Subscription agreements

Side letters

Private Placement Memorandums

Limited Partnership Agreements

Related fund and offering materials.

Partner with outside counsel on corporate actions, including IPOs, follow-on offerings, and other capital markets transactions.

Support the Chief Operating Officer on vendor management initiatives and operational due diligence projects.

Coordinate with the firm's fund administrator regarding:

NAV review processes

Investor onboarding and redemptions

KYC and AML documentation

Fund accounting oversight.

Assist with review of investor reporting and performance materials to ensure accuracy and consistency with regulatory requirements.

Support broader operational risk management and infrastructure initiatives as needed.

Qualifications

Minimum of three years of experience in a compliance role at an SEC-registered investment adviser, hedge fund, asset manager, or similar financial institution.

Strong working knowledge of the Investment Advisers Act of 1940, including:

Rule 206(4)-7

Rule 204-2

Rule 204A-1 (Code of Ethics)

Rule 206(4)-1 (Marketing Rule).

Demonstrated experience managing SEC examinations and regulatory inquiries.

Understanding of hedge fund operations and fund administration processes, including:

NAV calculations

Fund accounting principles

Investor onboarding and redemption processes.

Strong analytical and document review capabilities, particularly with legal and transaction documentation.

Exceptional written and verbal communication skills with the ability to work directly with regulators, auditors, legal counsel, and senior investment professionals.

High degree of professionalism, discretion, integrity, and sound judgment.

Experience with compliance management systems such as ComplySci or MyComplianceOffice is preferred.

Preferred Qualifications

J.D. or comparable legal or regulatory background strongly preferred.

FINRA licenses including Series 7, 63, or 65 are a plus.

Investment Adviser Certified Compliance Professional (IACCP) or similar compliance designation is preferred.

Familiarity with investor reporting and performance reporting processes across multi-fund structures.

Prior experience working within a healthcare-focused or sector-specialist investment firm.

Familiarity with OMS and PMS platforms.

Experience working directly with fund administrators and external service providers.

Reporting Structure This role reports directly to the Chief Operating Officer, who oversees technology, trading infrastructure, and fund operations across the firm.

Confidentiality

This search is being conducted on a highly confidential basis. Candidate identity, current employer information, and application materials will be shared only with authorized decision-makers within the firm and handled with the utmost discretion throughout the recruitment process.