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Compliance Manager



Job Description

Reporting to the Deputy Chief Compliance Officer, the Compliance Manager will assist with the Firm’s global compliance program with particular emphasis on assisting with the Firm’s compliance monitoring and testing program. He/she should possess an understanding and practical application of the Investment Advisers Act of 1940 and Investment Company Act of 1940. Additional understanding of ERISA, CFTC, and other non-US regulatory requirements a plus.

The Compliance Manager should be proficient in the use of Microsoft Office, particularly Microsoft Excel. Additional skills should include experience with compliance testing, internal audits, and personal trading compliance systems (such as Compliance Science/PTCC). Advertising and marketing materials review experience preferred.


Bachelor's degree, preferably with a concentration in law, business, finance, or accounting


Minimum of 5 years compliance experience at a SEC-registered investment adviser; private equity experience preferred

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