Director of Compliance

Job Title

Director of Compliance

Location

Remote

ETC Overview

Energy Transition Capital Management ("ETC”) is a U.S.-based private equity firm investing in and developing critical American energy infrastructure. Our mission is to deliver market-leading, net, after-tax returns to investors through investment in highest-value U.S. energy infrastructure assets. With deep expertise across the U.S. power sector, ETC is positioned to deliver innovative energy solutions that create lasting economic, societal, and environmental impact, supporting the next century of America’s energy and economic leadership.

The Role

Energy Transition Capital Management LLC is seeking an experienced Director of Compliance to lead and oversee the firm's regulatory compliance program across its investment funds and management company. This individual will serve as the primary coordinator ("quarterback") for all compliance-related initiatives, including the registration of the investment manager as an adviserwith the U.S. Securities and Exchange Commission (SEC), ongoing regulatory obligations, and the implementation of private fund adviser compliance policies and procedures.

The ideal candidate has extensive experience working with private equity, private credit, or investment management firms and has successfully managed the SEC registration process for investment advisers and/or investment funds. This role requires exceptional project management skills, attention to detail, and the ability to coordinate effectively with executive leadership, outside counsel, fund administrators, auditors, and other third-party service providers.

This position reports directly to the Chief Operating Officer and works closely with executive leadership, outside counsel, fund administrators, auditors, and other strategic partners to ensure the firm maintains the highest standards of regulatory compliance.

Key Responsibilities

• Lead and manage the firm's SEC registration process, coordinating all workstreams from planning through successful registration.
• Serve as the primary point of contact for all regulatory compliance matters relating to the investment adviser and its private funds.
• Develop, implement, and maintain the firm's compliance program, policies, procedures, and internal controls.
• Coordinate with outside legal counsel, compliance consultants, auditors, fund administrators, and regulatory agencies.
• Manage ongoing compliance obligations under the Investment Advisers Act of 1940 and other applicable federal and state securities regulations.
• Prepare and maintain required regulatory filings, including Form ADV and other SEC filings.
• Monitor regulatory developments and recommend updates to internal policies and procedures to ensure continued compliance.
• Oversee annual compliance reviews, risk assessments, testing programs, and internal audits.
• Maintain compliance calendars and ensure timely completion of regulatory reporting and filing deadlines.
• Assist with the development and maintenance of the firm's Code of Ethics, personal trading policies, insider trading procedures, and employee compliance training.
• Coordinate compliance due diligence requests from current and prospective investors.
• Support fundraising efforts by assisting with regulatory disclosures and compliance-related documentation.
• Partner with Finance, Operations, Investor Relations, and executive leadership to integrate compliance into firm operations.
• Maintain complete and accurate compliance records in accordance with SEC recordkeeping requirements.
• Identify compliance risks and proactively develop practical solutions to mitigate regulatory exposure.

Qualifications

• Bachelor's degree in Finance, Accounting, Business, Economics, Legal Studies, or a related field.
• 7+ years of compliance experience within an SEC-registered investment adviser, private equity firm, hedge fund, asset manager, law firm, or compliance consulting firm.
• Demonstrated experience managing or playing a lead role in SEC registration for an investment adviser or private fund.
• Strong knowledge of the Investment Advisers Act of 1940, SEC regulations, and private fund compliance requirements.
• Experience preparing and maintaining Form ADV and related regulatory filings.
• Familiarity with private equity fund structures, fundraising processes, and investor due diligence.
• Experience working with external counsel, auditors, and fund administrators.
• Strong project management skills with the ability to manage multiple concurrent priorities.
• Exceptional organizational skills and meticulous attention to detail.
• Excellent written and verbal communication skills.
• High level of integrity, discretion, and sound professional judgment.

Preferred Qualifications

• Certified Regulatory and Compliance Professional (CRCP), Certified Public Accountant (CPA), Juris Doctor (JD), or similar professional credential preferred.
• Experience supporting private equity, infrastructure, energy, or renewable energy investment platforms.
• Experience with SEC examinations or regulatory audits.
• Familiarity with anti-money laundering (AML), Know Your Customer (KYC), Office of Foreign Assets Control (OFAC), and Environmental, Social, and Governance (ESG) compliance frameworks.
• Experience implementing compliance technology and monitoring systems.

Key Competencies

• Regulatory expertise
• Project management
• Risk assessment
• Process improvement
• Cross-functional collaboration
• Strategic thinking
• Sound judgment
• Attention to detail
• Communication and stakeholder management
• Ability to work independently while managing multiple complex initiatives

Compensation

• Compensation is competitive and based on experience.
• Salary plus performance-based bonus
• Competitive healthcare, dental, and 401(K) matching packages

Contact