VP, Compliance

New York, NY

Job Reference #1924

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


  • 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


  • 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)