Our client, a well-established private equity firm, is seeking to add a Vice President, Compliance to its growing legal and compliance team. The firm has a longstanding investment platform and, over the past several years, has expanded into additional strategies, creating increased breadth and complexity across the compliance function. This is an excellent opportunity for a compliance professional who enjoys broad exposure across regulatory, operational, and advisory responsibilities within a collaborative and highly visible environment. The role will work closely with senior legal and compliance leadership and will be positioned for meaningful long-term growth as the platform continues to expand.
Key Points
- True compliance generalist opportunity in a well established fund that is expanding its strategies
- Highly visible position partnering closely with senior leadership and offering strong long-term advancement potential
- Collaborative team environment with significant cross-functional exposure
- Hybrid schedule (4 days in office) in Westchester County, NY
Responsibilities
- Support and enhance the firm’s compliance program across investment strategies
- Review marketing and fundraising materials for regulatory compliance
- Assist with regulatory filings, annual compliance reviews, testing, and monitoring
- Maintain compliance policies, procedures, and Code of Ethics documentation
- Partner with legal, investor relations, operations, and investment teams on day-to-day compliance matters
- Monitor regulatory developments and assist with related compliance initiatives
Qualifications
- 7-10 (+/-) years of compliance experience within an investment manager or private fund
- Strong generalist compliance background, including exposure to SEC filings, marketing review, and policy management
- Private equity experience strongly preferred; private credit exposure is a plus
- Familiarity with the Investment Advisers Act and SEC regulatory framework
- Strong organizational, communication, and interpersonal skills
- JD not required but welcomed!
Compensation: $175-225K base; $250-350K all-in