Sr. Associate-Compliance

SUMMARY

Aligned Solutions is seeking a Sr. Associate of Compliance for a well-respected company. A leading real estate investment, finance, and asset management firm is seeking a Compliance professional to join its dynamic team. With over 300 professionals across multiple U.S. offices and more than $6 billion in assets under management, the firm’s key business areas include investment management, loan origination, asset management, and special servicing. The successful candidate will work directly with the Chief Compliance Officer to support compliance functions related to private funds, hedge funds, and other managed clients.

KEY RESPONSIBILITIES

• Develop internal policies and procedures in line with current regulatory guidance, particularly regarding marketing and related compliance matters.

• Assist in maintaining broader legal and compliance policies and procedures.

• Create educational materials and training sessions for business professionals.

• Assess regulatory risks through industry research and interactions.

• Review marketing materials, due diligence responses, investor communications, and other fundraising or reporting materials (e.g., quarterly letters, recordings, memoranda) for legal, regulatory, and compliance accuracy.

• Oversee various regulatory filings with the SEC, CFTC/NFA, and other international bodies, in coordination with operations and finance teams.

• Assist with trade restrictions management, including MNPI analysis, trade clearance, and maintaining a restricted list.

• Support responses to regulatory requests, help prepare for examinations, and conduct mock exams with external consultants and legal counsel.

• Contribute to the implementation and maintenance of the firm’s compliance programs.

• Engage with investment and operations professionals on a broad range of business matters.

QUALIFICATIONS

• 8+ years of experience in a compliance role within a hedge fund, private equity fund, financial services firm, compliance consultancy, or as a practicing funds attorney.

• Deep understanding of the Investment Advisers Act of 1940.

• Bachelor’s degree from an accredited institution required.

• Demonstrated expertise in developing, implementing, and overseeing compliance policies.

• Strong analytical skills and attention to detail, with the ability to interpret complex regulatory requirements and provide practical guidance.

• Proven project management and organizational abilities, especially in managing competing priorities.

• Excellent verbal and written communication skills.

• Ability to work independently while maintaining a collaborative team approach.

• Proactive, solution-oriented mindset with the ability to manage projects from initiation to completion.

• Strong initiative, creativity, and resilience in a fast-paced environment.