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Pillar · Asset Management

Investment & Asset Management

RIAs, hedge funds, private equity, private credit, family offices. Compliance and legal leadership for the buy side, with deep familiarity in 206(4)-7 program management, ADV drafting, and the SEC Marketing Rule.

Sub-sectors covered

  • Registered Investment Advisers
  • Hedge funds
  • Private equity
  • Private credit
  • Family offices

Representative roles placed

  • Chief Compliance Officer
  • General Counsel
  • Senior Compliance Officer
  • Head of Regulatory Affairs
  • Deputy CCO

At a glance

Comp range
$150K – $350K base
Regulators
SEC · NFA · State regulators
Recent work in this pillar

Anonymized case studies.

Asset Management · 9 weeks

Senior Compliance Officer placed at a $30B European private wealth manager after an internal search had stalled.

A US-based RIA, the US arm of a European private wealth manager with $30B in AUM, needed to fill a senior compliance hire that had been open since early autumn. By mid-winter the search had stalled. Ophelos delivered seven qualified candidates against a fixed rubric over approximately four weeks. Six advanced to client interviews. Two received offers. One accepted.

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Other pillars

Hiring outside of Asset Management?

Traditional Banking

Community banks · Regional banks · …

Brokerage & Investment Banking

Broker-dealers · Investment banks · …

Payments, Fintech & Emerging Assets

Payments platforms · Money services businesses · …

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