VP, Compliance

Remote

Job Reference #1936

Our client, a leading global investment firm with $40 billion in assets, seeks a skilled compliance professional to join its Legal and Compliance team and help oversee the firm’s compliance program. Working in a fully remote capacity, the team is keen on finding an ambitious, well-rounded, mature, and thoughtful regulatory compliance professional to join their group.

Key Points:

  • Role is open due to the firm’s significant growth and success in a fully remote capacity
  • Team is tremendous – smart, passionate, motivated, kind, and fun!
  • Chance to contribute as a generalist across all areas of compliance for a firm that is expanding in AUM and product offerings
  • Potential for the role to broaden over time beyond its initial day-to-day duties

Responsibilities:

  • Aid in supervising the Firm’s compliance and code of ethics program.
  • Offer ad hoc compliance support to Firm employees as needed, and coordinate with all departments within the Firm on compliance issues.
  • Stay abreast of the regulatory landscape and its effects on the Firm, and help analyze and implement new and expanded SEC regulations.
  • Oversee and prepare regulatory filings such as Form ADV, Form PF, Form 13D, Form 13F, Form 13G, Form 13H, CFTC exemptions, Annex IV, AIFMD, etc.
  • Support with managing the Firm’s restricted list.
  • Assist in reviewing marketing materials throughout the Firm to ensure compliance with the SEC’s marketing rule.
  • Compile and address periodic investor inquiries.
  • Support the supervision and administration of outsourced compliance consultants.

Qualifications:

  • At least 7 years of pertinent experience in a compliance position within an SEC-registered investment adviser organization; private equity and/or credit experience required.
  • Comprehensive understanding of all relevant laws, rules, and regulations applicable to SEC-registered investment advisers.
  • Strong discernment; capacity to employ tact when engaging with management, colleagues, and external parties.
  • Keen attention to detail and exceptional organizational abilities; adept at clear and effective interpersonal communication and presentation.
  • Adaptable and resourceful, with an ability and desire to work autonomously; actively pursue and recognize additional projects.

$160-225K base; $200-325K all-in