About this role
A position for a Senior-level Compliance professional responsible for overseeing regulatory compliance and legal advisory functions within capital markets and fund management. The role requires ensuring adherence to capital market regulations and fund management laws, maintaining compliance frameworks, managing regulatory filings, and serving as a liaison with regulatory bodies. The candidate must be a SEC-Sponsored Individual with demonstrated fund management compliance experience. The role includes developing compliance policies, conducting internal training, supporting management on governance decisions, and proactively addressing regulatory breaches to avoid penalties.