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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in regulatory compliance within the financial services industry, particularly for SEC-registered investment advisers and alternative asset strategies. Proficient in compliance monitoring, regulatory filings, and developing compliance policies and procedures.
Highest-signal resume keywords
Regulatory Compliance ExperienceInvestment Adviser SupportCompliance MonitoringForm ADV and Form PF SubmissionsAnalytical Thinking
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory ComplianceCompliance Policies DevelopmentKYC ReviewsData CollectionRegulatory Risk AssessmentsAlternative Asset StrategiesFund Structures KnowledgeCompliance MonitoringInternational Regulatory FilingsAttention to Detail
Soft Skills
Effective CommunicationAnalytical Thinking
Tools & Technologies
Microsoft ExcelMicrosoft PowerPoint
Industry Keywords
SEC-Registered Investment AdviserAlternative StrategiesPrivate PlacementsReal EstateReal AssetsRIADue DiligenceAffiliation ReviewsAsset Allocation ReviewsInformation Barrier Oversight
About the role
Key responsibilities & impact- Provide day-to-day compliance support for an SEC-registered investment adviser covering alternative strategies, including real estate and real assets
- Support compliance inquiries from business partners at all levels
- Develop, review, and maintain compliance policies and procedures
- Execute compliance monitoring for investment guidelines, affiliation reviews, asset allocation reviews, KYC reviews related to Luxembourg products, and information barrier oversight
- Prepare and submit international regulatory filings
- Assist the Chief Compliance Officer with regulatory risk assessments and remediation action plans
- Collect data and prepare and file annual Form ADV and Form PF submissions
- Support investor due diligence meetings
- Oversee compliance-related content in RFP responses and periodic due diligence questionnaires
- Expand international regulatory oversight capabilities across the RIA's business lines
Requirements
What you’ll need- 3 or more years of experience in regulatory compliance within the financial services industry
- Experience supporting Registered Investment Advisers managing alternative asset class strategies and private placements
- Working knowledge of various fund structures, including registered and unregistered funds
- Bachelor's degree is preferred
- 5 or more years of regulatory compliance experience is preferred
- High proficiency in Microsoft Excel and PowerPoint is preferred
- Strong analytical thinking and effective written and verbal communication skills
- Attention to detail
- Ability to perform sedentary work
Benefits
Comp & perks- Superior retirement program
- Competitive health, wellness, and work-life offerings
- Financial, emotional, and physical well-being support
- Future-focused skills and AI tools
- Meaningful learning experiences and development pathways
- Hybrid Flex work arrangement
- Incentive program linked to performance may be included, depending on the role