Regulatory Operations Specialist – Private Capital

Regulatory Operations Specialist – Private Capital

Location: New York, NY
Employment Type: Full-Time
Estimated Compensation:
$140,000 – $185,000 total annual compensation (varies by employer)

Regulatory Operations Specialists in Private Capital support the day-to-day execution of regulatory and compliance obligations across private investment funds. The role ensures regulatory requirements are operationalized effectively, controls are followed, and regulatory data, filings, and disclosures are accurate and timely.

This position requires close coordination with compliance, legal, fund operations, finance, and external service providers, as well as interaction with regulators, auditors, and administrators when needed.

• Execute and support regulatory and compliance processes across private capital funds
• Assist with preparation, coordination, and submission of regulatory filings and reports
• Maintain regulatory calendars, documentation, and evidence of compliance
• Support operational implementation of regulatory requirements and internal policies
• Partner with compliance, legal, and fund operations teams on regulatory initiatives
• Coordinate responses to regulatory inquiries, audits, and examinations
• Ensure accuracy and consistency of regulatory data across internal systems and external filings
• Monitor regulatory changes impacting private capital strategies and support implementation efforts
• Maintain controls, procedures, and operational documentation related to regulatory requirements
• Identify process gaps, risks, and opportunities for regulatory operations improvements

• Bachelor’s degree in Finance, Economics, Accounting, Business, Legal Studies, or a related field
• Understanding of private capital fund structures and regulatory frameworks
• Experience or exposure to regulatory operations, compliance, fund operations, or risk management (preferred but not required)
• Strong attention to detail and execution-focused mindset
• Ability to manage multiple regulatory deadlines and workflows simultaneously
• Proficiency in Excel; familiarity with regulatory reporting tools, compliance systems, or workflow platforms is a plus
• Strong written and verbal communication skills
• Ability to work effectively in regulated, deadline-driven environments
• Professional demeanor and comfort collaborating with senior stakeholders and external parties
• Strong interest in private markets, regulatory compliance, and operational excellence