Compliance Officer

Compliance Officer

We are currently recruiting for a Compliance opportunity. This position will primarily focus on transaction advisory compliance for our client's credit business. The role is onsite five days per week, with the opportunity to convert to a full-time permanent position. We are ideally targeting candidates with 5–10 years of experience at the AVP or VP level. Prior financial services experience is required.

Responsibilities

Evaluate potential conflicts of interest associated with proposed investment transactions and provide practical compliance guidance.

Support the governance framework, oversight processes, and regulatory reporting for the Credit platform.

Serve as a trusted compliance advisor to investment professionals on regulatory requirements and internal policies.

Perform ongoing compliance monitoring, testing, and reporting while helping implement and enhance policies, procedures, and controls.

Advise on matters involving market abuse, information barriers, wall crossings, and conflicts management in accordance with applicable regulations and firm standards.

Stay current on evolving regulatory developments, assess business impact, and recommend process enhancements to address compliance gaps.

Develop, update, and maintain compliance policies, procedures, and internal guidance documents.

Deliver compliance training to business teams on regulatory updates and firm-wide policies.

Partner with internal audit, finance, operations, and external auditors to conduct periodic risk assessments and strengthen the firm's compliance testing and regulatory readiness.

Support pre-trade compliance reviews and controls, including oversight of the firm's security master and other key reference data.

Review trade reallocations, best execution activity, and trade exceptions to ensure adherence to internal and regulatory requirements.

Assist in investigating, resolving, and documenting trading and operational issues or errors.

Support the compliance aspects of onboarding new client accounts.

Maintain and monitor portfolio and client restricted lists, including affiliated investment restrictions.

Drive process improvements and assist with implementing technology solutions that enhance the efficiency and effectiveness of the compliance function.

Qualifications

7+ years of regulatory compliance experience within an alternative investment manager, private equity, credit, or broader asset management environment.

Demonstrated knowledge of investment advisory regulations and compliance best practices.

Self-motivated, resourceful, and proactive with a solutions-oriented mindset and strong ethical standards.

Proven ability to manage multiple priorities and projects in a fast-paced environment while exercising sound judgment.

Strong project management and organizational skills with exceptional attention to detail.

Collaborative team player with the ability to build effective relationships across business and support functions.

Excellent written and verbal communication skills, with the ability to present complex regulatory concepts clearly.

Strong analytical and problem-solving abilities.

Advanced proficiency in Microsoft Office, particularly Excel and PowerPoint.