Our client, a prominent investment manager, is looking to hire a Senior Compliance Officer to support their 40 Act funds.

Responsibilities:

Supporting 1940 Act Public Vehicle and Registered Investment Company Platform.
Oversee components of the firm’s compliance program including documentation, investment allocation oversight, and related control processes.
Prepare and coordinate materials and minutes for board and committee meetings across the firm’s registered investment vehicles.
Support regulatory governance obligations, including charter and exchange-related requirements.
Collaborate with compliance technology partners to enhance systems supporting the ’40 Act compliance program.
Maintain the firm’s regulatory filings calendar, including board and officer filings (Forms 3, 4, etc.) and other required submissions.
Coordinate the Rule 38(a)-1 testing and monitoring program for all registered funds and public vehicles.
Review service-provider and adviser reporting related to investment guideline compliance.
Support regulatory exam readiness and stay current on evolving SEC and industry developments.

Requirements