Job Overview – Associate Director (Registered Funds Compliance)
Compensation: $150,000 – $200,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring an Associate Director (Registered Funds Compliance) in New York, NY for our client, supporting compliance oversight for registered closed-end funds, interval funds, and business development companies. In this hybrid role, you will partner with Legal, Fund Counsel, and senior leadership to manage governance, regulatory reporting, and compliance testing while ensuring adherence to the Investment Company Act of 1940 and SEC requirements.
Responsibilities as the Associate Director:
- Registered Fund Compliance: Support the compliance program for closed-end funds, interval funds, and BDCs to ensure adherence to policies and federal securities laws.
- Governance & Board Support: Coordinate board materials, agendas, and reporting while liaising with fund counsel and trustees.
- Regulatory Filings: Assist with registration updates, Section 16 filings, and required disclosures.
- Co-Investment & Monitoring: Support co-investment compliance, testing, and related regulatory reporting.
- Compliance Testing & Risk: Execute compliance testing and support risk assessment initiatives across registered funds.
Qualifications for the Associate Director:
- Education: Bachelor’s degree required (JD strongly preferred).
- Experience: 3+ years of registered funds or ’40 Act compliance experience within an asset manager, investment company, or financial services firm.
- Industry Knowledge: Strong understanding of the Investment Company Act of 1940, Investment Advisers Act, and regulatory requirements applicable to registered funds.
- Product Expertise: Experience supporting registered funds such as closed-end funds, interval funds, mutual funds, or BDCs required, with exposure to fixed income or private credit preferred.
- Technical Skills: Proficiency in Microsoft Office required, with experience using compliance or governance systems preferred.
- Skills & Attributes: Highly organized and analytical professional with strong judgment, attention to detail, and the ability to manage multiple priorities while maintaining the highest ethical standards.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.