Compliance Manager - Capital Markets

Flexible Hybrid Schedule - Top Investment Firm

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This Jobot Job is hosted by : Scott Rundlett

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Salary : $140,000 - $200,000 per year

A bit about us :

We are a leading global investment firm with a multi-decade track record of delivering long-term value across private equity, credit, capital markets, and real assets. With a collaborative and entrepreneurial culture, our team partners with businesses and institutions to unlock potential and drive strategic growth. Our platform spans multiple asset classes and geographies, supported by deep expertise and a commitment to innovation.

Why join us?

We offer a dynamic, intellectually rigorous environment where professionals at all levels are empowered to contribute meaningfully. Our culture emphasizes mentorship, ownership, and continuous learning, with opportunities to work across diverse investment strategies and global markets. With competitive compensation, career development support, and a strong commitment to inclusion, we provide a platform for long-term success.

Job Details

We are seeking a detail-oriented and experienced compliance professional to join our capital markets team. This role involves supporting regulatory filings, managing compliance protocols, and partnering with investment and trading teams to ensure adherence to applicable laws and internal policies. The ideal candidate will have a strong background in financial services compliance and a proactive, collaborative approach.

What You’ll Do

Provide compliance support for capital markets business units, with a focus on registered and private fund operations.

Administer restricted list protocols and manage material non-public information (MNPI) processes.

Partner with investment and trading teams to address compliance-related questions and ensure regulatory alignment.

Coordinate and oversee regulatory filings, including Form ADV and Form PF, working with finance, operations, and compliance teams.

Maintain centralized filing calendars and ensure timely submission of required reports.

Compile compliance data for investor questionnaires and regulatory reports.

Assist with regulatory inquiries, exams, and internal testing activities.

Develop and maintain policies and procedures related to business unit compliance.

Review marketing materials and support long-term compliance initiatives.

Prepare presentations and reporting for internal committees and senior stakeholders.

What We’re Looking For

8+ years of experience in compliance, regulatory filings, or paralegal work within financial services.

Strong knowledge of registered and private fund structures, including 1940 Act and credit vehicles.

Demonstrated experience with Form ADV, Form PF, and other regulatory filings.

Excellent organizational and time management skills; ability to manage multiple projects with precision.

Strong written and verbal communication skills.

Ability to handle sensitive information with discretion and professionalism.

Collaborative mindset with strong interpersonal skills and a customer service orientation.

Creative problem-solving and analytical abilities.

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