Asset Manager

Associate Vice President, Compliance, New York, NY

Associate Vice President, Compliance (New York, NY): Our client, a leading Asset Manager with over $50 billion in AUM, is seeking a hard working compliance professional to join their team.  This opportunity will focus around the area of marketing compliance through the review and analysis of marketing materials and sales literature for a number of the firm’s investment offerings. 


Key Points:

  • Reputable firm in the hedge and private equity business that has continually grown over the past 10 years
  • Position offers room for growth within the firm
  • This individual will report into a manager who is extremely supportive of professional development and fostering career opportunities 
  •  Individual will likely be given the opportunity to hire underneath him/her shortly after joining the firm


  • Assisting in all compliance matters relating to the firm’s business development group; review and analyze marketing materials and sales literature for numerous pooled vehicles
  • Ensure seamless client service and professional relations between the firm’s compliance department and business development group; assess compliance with SEC, FINRA, non-US and the firm’s internal policy
  • Provide guidance to the firm’s global investor relations team and business unit personnel; stay current on global regulations and participate in training and education for other compliance personnel
  • Work closely with the legal department to define and interpret relevant laws, regulations and rules, resolve any issues and guarantee consistent flow of information between both Legal and Compliance teams


  • 7-10 years of relevant compliance experience (either a generalist with marketing compliance exposure or at least 2 years of marketing compliance experience)
  • Knowledge of alternative credit-based strategies or direct lending in the investment advisory industry is strongly preferred
  • Ability to manage a challenging workflow who thrives in a fast-paced dynamic group; must be successful in a deadline driven environment
  • Proven ability to communicate effectively with all levels of management and regulatory examiners; excellent verbal and written skills with strong interpersonal and negotiation skills
  • Must be comfortable with complexity, natural problem solver and solution driver
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