Compliance Manager, Investment Management

Compliance Manager, Investment Management

Compliance Manager, Investment Management

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Base pay range

$125,000.00/yr - $150,000.00/yr

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Job details
Confidential Search with Global Investment Leader - High Impact Role with Competitive Salary and Bonus
This Jobot Job is hosted by Amanda Cohen
Are you a fit? Easy Apply now by clicking the "Easy Apply" button and sending us your resume.
Salary $125,000 - $150,000 per year
A Bit About Us
Our client has grown into one of the world’s premier private investment firms, with over 100 Bil in assets under management. The firm
What sets them apart is a partnership-driven approach—they work differently, connecting diverse expertise across a global platform to unlock opportunities and achieve exceptional outcomes. Their people are their greatest asset, empowered to innovate, challenge ideas, and take ownership of their careers. By cultivating a collaborative culture, they consistently deliver results for investors, businesses, and communities worldwide.

Why join us?

We are conducting a confidential search on behalf of one of the world’s most respected and successful private investment firms. This organization is known for its collaborative culture, deep expertise across asset classes, and its ability to create long-term value for investors, portfolio companies, and the communities it serves. Joining this team means stepping into a role where you’ll be empowered to contribute at a high level, work alongside top talent in the industry, and develop your career within an environment that prizes innovation, agility, and professional growth.
You’ll be part of a culture where colleagues at every level have a voice at the table, where intellectual curiosity and teamwork drive success, and where your contributions are directly connected to meaningful outcomes. This is an opportunity to be at the center of an organization that blends global scale with the feel of a close-knit, entrepreneurial team.
Job Details
We are seeking a highly skilled and experienced Compliance Manager to support the firm’s Capital Markets business unit, with a primary focus on its Credit platform. This is a strategic role working across the compliance function and closely partnering with investment teams, trading desks, and the broader global compliance organization. The right candidate will bring deep knowledge of regulatory requirements for both registered and private funds, along with the leadership presence to manage complex compliance initiatives in a dynamic environment.
Key Responsibilities
Serve as a compliance lead for the Capital Markets businesses, with emphasis on Credit products.
Oversee compliance matters related to both registered funds (mutual/interval vehicles) and private funds.
Manage MNPI protocols and administration of the Restricted List.
Partner with investment and trading staff to advise on compliance-related questions and trading issues.
Maintain regulatory filing processes and a centralized filing calendar.
Work cross-functionally with finance, operations, and compliance teams to gather and verify data.
Develop and implement policies, procedures, and technology solutions to enhance compliance processes.
Prepare compliance reporting for registered fund/40 Act vehicles, investor DDQs, and related documentation.
Support examination readiness and regulatory inquiries, coordinating with internal and external stakeholders.
Assist with compliance testing, assurance matters, and committee presentations.
Qualifications
6+ years of compliance or paralegal experience, preferably in asset management or investment firms.
Proven track record with Form ADV and Form PF filings.
Highly collaborative team player with excellent judgment, follow-through, and problem-solving skills.
Interested in hearing more? Easy Apply now by clicking the "Easy Apply" button.
Jobot is an Equal Opportunity Employer. We provide an inclusive work environment that celebrates diversity and all qualified candidates receive consideration for employment without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.
Sometimes Jobot is required to perform background checks with your authorization. Jobot will consider qualified candidates with criminal histories in a manner consistent with any applicable federal, state, or local law regarding criminal backgrounds, including but not limited to the Los Angeles Fair Chance Initiative for Hiring and the San Francisco Fair Chance Ordinance.
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Seniority level

• Seniority level

  Not Applicable

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

• Industries

  Accounting, Financial Services, and Banking

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