Asset Manager

Associate Vice President, Compliance, New York, NY

Associate Vice President, Compliance (New York, NY): Our client, a leading asset manager with over $100 billion in AUM, is seeking a dynamic and intelligent 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

Job Reference #1385

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