Asset Manager

Vice President-Legal & Compliance , New York, NY

Vice President - Legal & Compliance (New York, NY): Our client, a global alternative asset manager with over $75 billion in AUM, is seeking a Vice President to join their legal and compliance team.  This person will report directly to the Managing Director/Chief Compliance Officer and will supervise 1-2 individuals focused on the firm’s BDC compliance program.  Specifically, this new hire will serve as the Chief Compliance Officer for the firm’s BDC platform.  The VP will review and approve transactions on a pre-trade basis; monitor and advise on allocation of investments across the platform; advise the BDC investment professionals on 1940 Act compliance issues; handle regulatory filings; coordinate with the Global CCO on SEC regulatory inspections; and serve as the BDC compliance liaison with the firm’s compliance team.  S/he will also oversee the maintenance of books and records for the BDC platform; coordinate with the firm’s Internal Audit function on audits relating to the BDC platform; assess complex investment allocation issues; advise on potential conflicts among advisory clients as the platform grows; assist in the review of marketing materials for BDC funds; and oversee training of personnel on relevant compliance policies and procedures.  The ideal candidate will have 8-12 years of compliance experience at another asset manager, law firm, the SEC or a regulatory consulting firm; a proven ability to effectively identify issues and communicate with the team; and a thorough understanding of U.S. securities laws, particularly the Investment Company Act of 1940.  A strong understanding of U.S. securities laws is required.  This is an excellent opportunity for a self-starter team player, who has exceptional organizational skills to join an established business in a highly visible and critical role.  A JD is preferred but not mandatory.

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