Our client, a $50B+ international investment manager, is looking for a dedicated compliance professional to take on this newly established role. As part of an incredibly successful team, this VP will hold a highly visible role with access to all aspects of the compliance program amongst an impressive group of individuals. The VP will serve as a generalist, providing support for and overseeing key compliance-related projects and initiatives.
Key Points:
- Opportunity to contribute significantly, and develop a reputation as a reliable advisor from a regulatory standpoint
- Extremely stable organization with growing assets and diversified investment strategies
- Excellent chance to collaborate closely with both senior and junior team members gaining exposure to all areas of compliance
Responsibilities:
- Explore regulatory developments and implement procedures to ensure platform compliance with all applicable rules and regulations
- Draft policies and procedures and designing new compliance initiatives as the compliance environment and business evolves
- Create regulatory reports and testing documentation; and prepare regulatory filings (e.g., ADV, Form PF, AIFMD filings)
- Review marketing materials and investor relations documents
- Support transactional and counterparty KYC processes, and compliance testing and surveillance
Qualifications:
- Bachelor’s degree required; JD or MBA valued but not required
- 7+ years of relevant experience of generalist regulatory/compliance experience within a private fund
- Background ideally involves drafting policies and procedures as well as conducting compliance testing
- Self-motivated and open to collaborating in a team setting across various offices
Compensation: $200-225K base; $300-350K all-in (dependent on experience)