Asset Manager

VP, Compliance, New York, NY

VP, Compliance (New York, NY): Our client, a $6B+ international asset manager is seeking a compliance professional to join their team. Specifically, this new hire will provide assistance in all aspects of the firm’s compliance program. The Vice President of Compliance will assist and report to the Chief Compliance Officer.


Key Points:

  • Firm is stable and growing
  • This person will have the opportunity to get involved in all areas of the program
  • Person will have the ability to build out new processes and leave their mark on the team and program
  • Firm offers a strong quality of life


  • Maintain ongoing compliance metrics while updating employee code of ethics certifications and violations; provide support with initiatives relating to the implementation of core technology systems and platforms
  • Review and implement specific day-to-day compliance program activities (regulatory filings and disclosures, investor due diligence questionnaires, third-party service provider due diligence reviews); prepare/respond to regulatory inquiries, internal/external audits, examinations along with other types of due diligence reviews
  • Facilitate new hire compliance training, NFA ethics training and other group trainings; coordinate with internal teams to prepare and submit various regulatory filings (Form ADV, Form CPO-PQR and Form PF)
  • Staying up-to-date with ongoing regulatory developments and regulatory changes in applicable law and regulations with the ability to advise on those regulatory changes; Provide hands‐on support with respect to all critical ad‐hoc compliance projects


  • At least 5 years of relevant experience in a hedge fund or in asset management, prior regulatory advisory consulting is a pus; bachelors degree or higher
  • Strong knowledge of the Investment Advisory’s Act of 1940 (CPO and CTA rules and regulations); expertise and working knowledge of registered investment adviser compliance program is required
  • Ability to promptly identify issues and exercise thorough judgement within a fast-paced environment; must be extremely organized and detail‐oriented with the ability to deliver key insights on complex compliance and business matters
  • Ability to effectively prioritize work and manage multiple projects; strong work ethic, time management skills and ability to work independently on tight deadlines

Job Reference #1425

facebook twitter linkedin

Designed by Tradical360, an SEO Company in New York, NY