Job Summary
We are seeking a highly competent Compliance Officer with a legal background and strong experience in capital markets and investment management.
The ideal candidate will be responsible for ensuring that the organization operates in full compliance with all regulatory requirements, particularly within the financial services and capital markets space.
Key Responsibilities
Design, implement, and continuously enhance a robust compliance and regulatory framework aligned with capital markets and investment management operations.
Ensure full compliance with securities regulations governing private placements, alternative investment structures, real estate investment vehicles, and private credit transactions.
Provide legal oversight on deal structuring, investment documentation, offering memoranda, and investor agreements.
Review, approve, and ensure regulatory compliance of all investor communications, marketing materials, and capital raise documentation.
Advise on legal and regulatory implications of new investment products, structures, and fundraising strategies.
Monitor regulatory developments and provide timely interpretation and guidance on business impact.
Oversee AML, KYC, and investor onboarding processes to ensure full regulatory compliance.
Conduct compliance audits, internal investigations, and risk assessments across investment activities.
Liaise with regulatory authorities, external counsel, auditors, and other relevant stakeholders.
Ensure accurate, timely, and complete regulatory filings and statutory reporting obligations.
Train internal teams on compliance obligations, ethical standards, and regulatory best practices.
Requirements
Qualified lawyer (LL.B and BL mandatory).
4–8 years post-call experience in capital markets law, investment regulation, or financial services compliance.
Strong hands-on experience with investment structuring, securities law, and regulated financial transactions.
Deep understanding of alternative investments, real estate transactions, and private credit structures.
Proven experience working within or advising asset management firms, investment companies, or capital market institutions.
Strong knowledge of SEC regulations and financial services compliance frameworks.
Experience with AML/KYC compliance systems and investor due diligence processes.
Strong legal drafting, analytical, and advisory capabilities.
SEC sponsorship/registration eligibility is highly desirable.