Vice President, Compliance

New York, NY

Job Reference #1784

Our client, a global private equity firm with north of $30b in AUM, is seeking a motivated VP to join their team. This position will collaborate closely with the existing compliance team and will be on track to become CCO of one business line over the next year.

Key Points

  • Opportunity to join a growing PE firm with a stable track record and stellar reputation 
  • Firm values an entrepreneurial spirit and a kind, open, inclusive culture 
  • Position will report to the firm’s Chief Compliance Officer who encourages learning opportunities, growth, and prides himself on being a strong mentor
  • Position will track to assume the role of CCO of one of firm’s regulated entities within the next year

Responsibilities

  • Develop, implement and update the firm’s compliance policies and procedures
  • Review advertising and sales literature for compliance with FINRA and SEC rules and conduct regular reviews
  • Prepare compliance reports for the board and senior management; act as primarily point person for regulators 
  • Assist in preparing and filing Form ADV, and other related regulatory filings
  • Coordinate annual compliance reviews and coordinate responses, both internal and external
  • Conduct employee trainings and advise on ongoing employee compliance matters  

Qualifications

  • Bachelor’s degree or higher
  • 7-10+ years of experience in investment management compliance 
  • Working knowledge of the rules and regulations impacting Broker-Dealer and Registered Investment Advisers 
  • Possess Series 7, 63 Licenses or acquire them within 6 months; Possess Series 24 or acquire license within 9 to 12 months
  • Confidence working in multiple areas of compliance including marketing, portfolio management, operations and risk