AVP, Compliance Advisor (RIA Compliance Sr Associate)The AVP provides day-to-day compliance support for an SEC-registered investment adviser ("RIA") covering alternative strategies, including real estate and real assets, and the underlying business areas of the RIA. This role is a key contributor to the design, controls, and execution of the compliance program, partnering closely with the RIA's Chief Compliance Officer and business partners in assigned coverage areas. Working knowledge of alternative asset classes is a plus but not required.
Key Responsibilities and Duties- Support day-to-day compliance inquiries from business partners of all levels.
- Assist with developing, reviewing and maintaining the RIA's compliance policies and procedures to ensure alignment with evolving regulatory requirements.
- Execute compliance monitoring across key areas, including investment guidelines, affiliation reviews, asset allocation reviews, KYC reviews related to Luxembourg products, and information barrier oversight.
- Support the preparation and submission of international regulatory filings, supporting the RIA's global regulatory footprint.
- Assist CCO with performing regulatory risk assessments to identify compliance issues, concerns, and deficiencies and implementing action plans to remediate identified issues
- Drive collection of data and the preparation and filing of annual Form ADV and Form PF submissions, ensuring timely regulatory compliance.
- Support investor due diligence meetings and help oversee compliance-related content included in RFP responses and periodic due diligence questionnaires.
- Support the expansion of international regulatory oversight capabilities across the RIA's business lines.
Educational Requirements- University (Degree) Preferred
Work Experience- 3+ Years Required; 5+ Years Preferred
Physical Requirements- Physical Requirements: Sedentary Work
Career Level 7IC
Required Skills
- 3 or more years of experience in regulatory compliance within financial services industry
- Experience supporting Registered Investment Advisers that manage Alternatives asset class strategies and private placements
- Working knowledge of various fund structures, including both registered and unregistered funds
Preferred Skills
- 5 or more years of experience in a regulatory compliance within financial services industry
- Excellent attention to detail, strong analytical thinking, and effective written and verbal communication skills
- Bachelor's degree
- High proficiency in Microsoft Excel and PowerPoint
Related Skills
Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking
Anticipated Posting End Date:2026-10-07
Base Pay Range: $87,800/yr - $119,000/yr
Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).
Benefits and Total RewardsThe organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That's why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary.
