Investment Manager

AVP/VP Legal & Compliance, New York, NY

AVP/VP – Legal & Compliance (New York, NY): Our client, a leading investment firm with over $150b in AUM, is seeking a legal and compliance professional.  This position will work directly for the GC/CCO and Managing Director and will be responsible for a variety of tasks.   Those tasks include compliance policy review, risk assessments, annual 206(4)-7 compliance review, regulatory filings, including Form ADV parts 1 and 2, Form PF and AIFMD reports and filings.  This candidate will also be assisting with all compliance and regulatory matters including, SEC and CFTC registrations and exemptions, federal, state and international securities laws (including the Investment Advisors Act of 1940 and the Investment Company Act of 1940), interacting with various business groups to assess the effectiveness, revise and redevelop, existing compliance policies and procedures, including identifying and addressing areas where policies and procedures need to be developed or amended, assisting in updating the compliance manual, and working with in-house and external counsel to monitor, and then implement responses to, regulatory developments that impact the business. This candidate will also be working extensively with the Firm’s Investor Relations group and Legal and Compliance teams to ensure compliance with marketing laws and regulations applicable to private funds worldwide. Candidates should be self-motivated, team-oriented, energetic, ambitious and thrive in a face-paced environment.  Our client is considering a variety of backgrounds including candidates coming from another hedge fund, law firm or compliance consulting firm with a minimum of 2-3 years’ experience. A JD is required, with a focus on the Investment Advisors Act of 1940.

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