Fractional Compliance Manager (Advisor Network)

Responsibilities

We are representing a confidential talent solutions firm serving the alternative investment industry. They maintain a curated network of senior compliance professionals who are deployed to hedge funds, private equity firms, and family offices on a project basis when client needs align with advisor expertise.

As a fractional compliance advisor in this network, you would provide expert guidance to alternative asset firms and family offices across compliance program development and implementation. Engagements are project-based and designed to fit around existing commitments.

Typical projects include:

• Developing and implementing comprehensive compliance programs and control frameworks
• Preparing for SEC examinations through risk assessment and remediation planning
• Drafting and updating Code of Ethics documents and Compliance Manuals
• Creating and maintaining Form ADV filings and periodic regulatory submissions
• Managing internal controls for insider trading, material nonpublic information, and trading activity oversight
• Designing employee training programs for new hires and ongoing compliance education
• Collaborating with management to address findings from internal and external audits
• Facilitating annual regulatory risk assessments and presenting recommendations to senior leadership
• Establishing best practices for electronic correspondence, record retention, and outside business activities
• Overseeing annual compliance testing protocols
• Advising on client fee billing processes and investment advisory agreement workflows
• Supporting NFA/CFTC registered Commodity Pool requirements and FINRA rules for broker/dealer operations

What We're Looking For

Our client seeks experienced compliance leaders with deep alternative investment expertise:

• Bachelor's degree in Law, Finance, Business Administration, or related field required; MBA, JD, or MS in Legal Studies preferred
• 5+ years compliance experience with at least 3+ years as Director of Compliance, Compliance Manager, or similar leadership role at a hedge fund or family office
• Hands-on experience working directly with Chief Compliance Officers
• Strong knowledge of federal securities laws including the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Exchange Act of 1933, and related regulations
• Proven track record managing relationships with regulatory bodies
• Certifications such as CCEP or Certified Internal Auditor are advantageous
• Excellent written and verbal communication skills with the ability to advise senior executives
• Advanced proficiency with Microsoft Office Suite
• Outstanding analytical abilities with strong attention to detail
• Proven ability to work independently, prioritize effectively, and deliver results in ambiguous situations
• Collaborative approach with cross-functional stakeholder management experience
• Ability to quickly build rapport and establish credibility with clients

How We Work With You

This is a network membership opportunity, not a guaranteed placement. When you apply through Get A Job.ai, our recruiting team will conduct an initial screening to understand your background and expertise. If your profile aligns with the network requirements, we will submit your credentials to our client for consideration.

Once accepted into the advisor network, you gain access to project opportunities as they arise based on client demand and fit with your specific experience. Client origination and engagement management are handled by the firm, allowing you to focus on delivery when projects match your availability and expertise.

Please apply only through Get A Job.ai. Do not contact the client directly, as all advisor placements are managed through our talent team.

Pay

Compensation for fractional engagements varies by project scope, duration, and expertise level. Payment terms are established on a per-engagement basis.

Get A Job.ai is an equal opportunity employer committed to building a diverse and inclusive workforce. We welcome applications from all qualified candidates regardless of race, color, religion, sex, national origin, age, disability, veteran status, or any other legally protected characteristic.