Investment Firm

VP, Compliance Officer, New York, NY

VP, Compliance Officer (New York, NY): Our client, a successful investment firm with north of $40B AUM, is seeking a motivated and experienced compliance professional to join their growing team in NYC. The candidate of choice will be joining a successful and collaborative team, assisting with key compliance-related initiatives. Specifically, this person will be covering training, testing and designing/implementing policies and procedures for the firm. 


Key Points: 

  • Firm has a strong global footprint and credit is the fastest growing business line 
  • The business appreciates a true partnership and values a positive compliance culture, promoting a collaborating team environment 
  • Firm hires top talent with no egos; intellectual curiosity and the ability to run with projects is huge
  • No limit to growth potential. As the firm continues to grow, they expect this new hire to grow
  • Organization prides itself on excellence – this new hire will be surrounded by intelligent, like-minded individuals with a collaborative attitude towards work
  • Individual will have an impact on the continued success of the business due to the nature of stepping into a newly created role 


  • Assist with drafting policies and procedures and creating new compliance initiatives; review regulatory developments and implement procedures, ensuring platform compliance with all applicable rules and regulations
  • Assist with regulatory reporting (Form ADV, Form PF, 13F, 13G); review marketing materials and investor relations materials
  • Manage and escalate all conflicts of interests across groups, both regionally and globally; prepare and conduct ongoing compliance training for new hires and existing employees
  • Assist with compliance testing and mock audits; prepare regulatory reports, testing documentation and respond to regulatory inquiries/examinations


  • At least 6 years of relevant regulatory compliance experience, preferably from a private fund; bachelors degree is required, MBA and/or JD (optional)
  • Prior in-house experience at private fund investment adviser preferred; previous experience with policy and procedure drafting and trade surveillance is ideal
  • Deadline-oriented with the ability to meet time-sensitive contractual requirements, proactive mindset with strong problem-solving skills
  • Excellent written and oral communication skills as this person will be exposed to all levels of management; self-motivated and willing to work in a team environment across multiple offices

Job Reference #1631

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