Asset Manager

VP, Compliance, New York, NY

VP, Compliance (New York, NY): Our client, a steadily growing asset manager with investments in real estate, private equity, and direct assets, is eager to make a strong additional to their compliance team. This new hire will report to the Chief Compliance Officer and will provide day-to-day support in all areas of compliance for each of the firm’s strategies.


Key Points:

  • Organization is stable with sticky money, expanding investment strategies and new assets
  • Exposure to all levels of management and various groups within the firm
  • Individualwill work for a phenomenal CCO – someone who will give this person autonomy as well as mentorship


  • Review and update the firm’s policies and procedures; conduct periodic compliance testing and coordinating testing done by third party vendors
  • Collaborate with team members to develop and update compliance policies and procedures
  • Review and approve marketing materials, RFPs, monthly reports, DDQs, website content, and factsheets; assist with the compliance risk assessment process
  • Develop and conduct employee trainings; review and approve requests for expert networks
  • Review responsesfor regulatory examinations, internal audits, investigations and inquiries 


  • 4-8 years of compliance experience from a private equity, hedge fund or asset manager
  • Bachelors degree required; JD preferred
  • Experience in drafting policies and procedures, compliance monitoring and testing is preferred; strong familiarity of the various regulatory rules and regulations
  • Understanding of a wide range of compliance matters
  • Must have strong attentionto detail, with an analytical and problem-solving mindset; excellent writing and communication skills 

Job Reference #: 1393

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