Vice President of Compliance
About the Company
Prestigious investment management firm
Industry
Investment Management
Type
Privately Held
About the Role
The Company is seeking a VP of Compliance to take on a pivotal leadership role in overseeing the compliance of investment accounts, including private funds and managed accounts. The successful candidate will be responsible for supporting and managing the regulatory compliance program, ensuring the adoption and management of policies and procedures to meet regulatory requirements, and coordinating various regulatory filings. This role also involves conducting ongoing testing of compliance processes and working closely with internal and external teams to maintain compliance across operations.Candidates for the VP of Compliance position at the company should have a Bachelor’s degree, with a preference for an advanced degree, in a relevant field such as finance, law, or business. A minimum of 7-10 years' regulatory compliance experience, particularly with a focus on investment advisors and the Investment Company Act, is required. The role demands a deep understanding of the Investment Adviser Act of 1940, Investment Company Act of 1940, and other Federal Securities Laws. Strong organizational skills, attention to detail, and the ability to provide clear explanations of complex issues are essential. The ideal candidate will be proactive, team-oriented, and capable of managing long-term projects both independently and as part of a team.
Travel Percent
Less than 10%
Functions