Senior Compliance Associate

About the job

The Compliance team is seeking a Senior Compliance Associate to support and enhance the firm's compliance program. This role offers broad exposure across regulatory compliance, policy development, private fund operations, business advisory activities, and regulatory reporting. The successful candidate will work closely with business leaders across the organization to help identify and mitigate regulatory, legal, operational, and reputational risk while promoting a strong culture of compliance.

This is an excellent opportunity for a compliance professional seeking to expand their experience across SEC-registered investment adviser, private fund, and broker-dealer activities while taking on increasing responsibility within a growing organization.

THE SUCCESSFUL CANDIDATE IS EXPECTED TO:

Compliance Program Management

Support the administration and ongoing enhancement of the firm's compliance program.

Assist in conducting the annual compliance review and risk assessment.

Maintain and update the firm's Compliance Manual, Code of Ethics, Written Supervisory Procedures (WSPs), and related policies and procedures.

Monitor employee compliance with the firm's Code of Ethics, including personal trading activities and other regulatory requirements.

Coordinate firmwide compliance, cybersecurity, and required workplace training programs.

Assist with vendor compliance reviews and related due diligence activities.

Business Advisory and Risk Management

Partner with business leaders to provide compliance guidance on new initiatives, strategic projects, and day-to-day business activities.

Support compliance oversight throughout the business development and investor relations process.

Review marketing materials, RFP responses, investor presentations, website content, and other communications for regulatory compliance.

Review and assist with contracts, non-disclosure agreements, vendor agreements, and other business documentation.

Maintain awareness of regulatory developments and industry best practices to support continuous improvement of the compliance program.

Regulatory Reporting and Examinations

Assist with the preparation and filing of regulatory reports and disclosures, including Form ADV, Form PF, Forms 13F, 13G, and 13H, and other required filings.

Draft and maintain regulatory disclosures, compliance notices, and policy documentation.

Coordinate responses to regulatory inquiries, examinations, audits, and information requests from regulatory authorities including the SEC, FINRA, CFTC/NFA, and state regulators.

Partner with external legal counsel and regulatory consultants as needed.

Assist in monitoring compliance with SEC private fund regulations and related regulatory requirements.

Cybersecurity and Operational Oversight

Support the firm's cybersecurity compliance efforts, including vendor assessments, penetration and vulnerability testing, disaster recovery exercises, phishing awareness initiatives, and related oversight activities.

Assist in monitoring and evaluating operational controls designed to mitigate regulatory and operational risk.

QUALIFICATIONS:

Required Experience

Bachelor's degree required.

Minimum of 4 years of compliance experience with an SEC-registered investment adviser, private fund manager, broker-dealer, compliance consulting firm, or related financial services organization.

Strong working knowledge of applicable securities regulations, including the Investment Advisers Act of 1940, Securities Exchange Act of 1934, Investment Company Act of 1940, Dodd-Frank, BSA/AML/OFAC requirements, and/or FINRA rules.

Experience drafting compliance policies, procedures, disclosures, and regulatory documentation.

Exceptional written and verbal communication skills.

Strong analytical, organizational, and problem-solving abilities.

Ability to manage multiple priorities in a fast-paced environment while maintaining exceptional attention to detail.

Proficiency with Microsoft 365, including Word, Excel, and PowerPoint.

Preferred Qualifications

Experience supporting SEC examinations and regulatory inquiries.

Knowledge of SEC private fund regulatory requirements.

Knowledge of MNPI controls, expert network reviews, and related surveillance processes.

Experience with regulatory filings, including Form ADV, Form PF, and Section 13 filings.

Industry licenses or compliance-related certifications are a plus.

Salary Range: Expected base salary range for this role is $110,000 - $165,000/year

This range represents base salary only and does not include bonus or other forms of compensation. Actual base salary may vary based upon, but not limited to relevant experience, peer and market data, business sector, and/or geographic location. This role may also be eligible for an annual discretionary incentive compensation award. Future Standard offers a full spectrum of benefits, including Medical, Prescription, Dental, Vision, Health Savings Account, Paid Time Off, Holidays, 401(k), Disability and other Insurance Plans.

Future Standard is a global alternative asset manager serving institutional and private wealth clients, investing across private equity, credit, real estate and infrastructure. With a 30+ year track record of value creation and $94 billion in assets under management, we back the business owners and financial sponsors that drive growth and innovation across the middle market, transforming untapped potential into durable value.

Total AUM estimated as of June 30, 2026.

Future Standard is an Equal Opportunity Employer.

Future Standard does not accept unsolicited resumes from recruiters or search firms. Any resume or referral submitted in the absence of a signed agreement is property of Future Standard and no fee will be paid.