Alpine HQ | Compliance Lead

Alpine Investors is seeking a Compliance Lead, who will be responsible for managing the day-to-day needs of the firm’s registered investment adviser compliance program. This individual will proactively assist in identifying and managing compliance and regulatory risk, foster a service-oriented compliance program, and help the organization embrace compliance. This role reports to the General Counsel and Chief Compliance Officer, Alex Stuart, who will provide mentorship and broad exposure to various parts of the compliance function and broader firm strategy. This is a unique opportunity to join a lean and dynamic team that is scaling to meet the needs of the broader organization.

WHAT YOU WILL DO

• Design and enhance compliance procedures and policies to ensure infrastructure of controls, appropriate oversight, and practical application
• Partner with external compliance consultants in the administration of the Firm’s Code of Ethics and compliance monitoring solution
• Execute employee trainings related to the Firm’s compliance program, applicable regulations, and business-related risks
• Conduct the annual review and quarterly testing initiatives
• Review and advise on advertising and marketing materials to ensure compliance with applicable regulations
• Administer the firm’s anti-money laundering program in connection with new investment funds and ongoing monitoring
• Supporting vendor due diligence processes and documentation
• Help manage the response to regulatory inquiries and examinations and support related “exam readiness” initiatives
• Manage regulatory filings including Form ADV, Form PF, and AIFMD reporting
• Support the GC/CCO in preparing reports to the Fund’s Limited Partner Advisory Committees and in tracking and meeting limited partner side letter obligations

YOU SHOULD HAVE

• Ability to scale processes and identify inefficiencies while maintaining controls
• A focus on continuous improvement and designing policies that are effective given the firm’s particular business needs and risk posture
• Experience interacting with and advising senior stakeholders
• Comfort delivering compliance training and presenting in front of external parties including investors and regulators
• Alignment with Alpine’s core values

REQUIREMENTS

• 6+ years of related compliance experience with a private equity or venture capital firm (or similar experience as a compliance consultant or in a law firm regulatory practice)
• Bachelor’s degree; juris doctor preferred for Deputy CCO applicants

JOB EXPECTATIONS

• 3+ days in office per week

WHAT WE OFFER

• Competitive compensation and bonus
• Flexible time off
• Full medical, dental and vision coverage
• 401k matching
• PeopleFirst Culture
• Events and activities both team-based and company-wide that inspire, educate, and cultivate

ABOUT ALPINE INVESTORS

Alpine Investors (“Alpine”) is a San Francisco, New York City, and Salt Lake City-based private equity firm that is completely reimagining the private equity space. With $16B in assets under management across nine flagship funds and an established track record of strong performance (most recent fund of $4.5B), Alpine continues to demonstrate that pursuing and investing in passionate individuals is the key driver in building enduring companies and delivering market-leading returns.

Alpine is proud to be recognized as a UNPRI certified business, B-Corporation organization, Great Place to Work™, and Inc. Top Founder Friendly firm. The Alpine team believes in hiring for attributes over experience and our team includes 150+ professionals with diverse investing, operations, management, and finance backgrounds. Learn more by visiting our website.

DIVERSITY, EQUITY, & INCLUSION AT ALPINE

At Alpine, we believe a focus on diversity, equity, and inclusion (“DEI”) is integral to hiring exceptional people and creating enduring businesses. To inspire growth at our firm and throughout our portfolio, we strive to create an organization where every individual is celebrated, heard, valued, and empowered to reach their full potential. These beliefs and actions are true to Alpine’s PeopleFirst philosophy, which is rooted in how we invest, hire, and show up day in and day out.

We will continuously look for ways to improve and evolve in our ever-changing world and we are committed to ensuring Alpine is one of the best places to work for all by creating diverse teams, strengthening our culture of inclusion, and giving everyone an equitable opportunity to succeed. To learn more about our DEI work, please read our latest Force For Good Report.

COMPENSATION

The annualized base pay range for this role is expected to be between $175,000-250,000. Actual base pay could vary based on factors including but not limited to experience, subject matter expertise, and the applicant’s skill set. The base pay is just one component of the total compensation package for employees. Other rewards may include an annual cash bonus and a comprehensive benefits package.

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Alpine Investors is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law.

As an equal opportunity employer, we offer competitive compensation packages, robust benefits and professional growth opportunities aimed at helping to improve our employees’ lives and careers.