Vice President/Senior Associate, Compliance About the Company Premier investment management firm catering to global clientele
Industry
Investment Management
Type
Privately Held
About the Role The Company is seeking a VP/Senior Associate, Compliance to join their dynamic and collaborative team.
The successful candidate will be responsible for supporting key compliance projects and initiatives, with a focus on training, testing, and the design, implementation, and advisement of policies and procedures.
This role involves working closely with the internal compliance testing and surveillance program, preparing regulatory reports, and acquiring a comprehensive understanding of the SEC Marketing Rule to assist in the review of marketing and investor relations materials.
The candidate will also be tasked with identifying and addressing conflicts of interest, supporting KYC processes, monitoring regulatory developments, and helping to ensure the company's compliance with all relevant rules and regulations.
Applicants for this position should have a minimum of 6 years' experience in regulatory and compliance matters, with a Bachelor's degree required and an MBA and/or JD being a plus.
The ideal candidate will have previous in-house experience with a private fund investment adviser and a background that includes drafting policies and procedures and conducting compliance testing.
The role demands a results-driven individual with a strong emphasis on meeting time-sensitive obligations, proficiency in problem-solving, and the ability to handle multiple tasks effectively under pressure.
The candidate should be self-driven and eager to collaborate in a team environment, as the company values a strong culture of compliance and community.
Travel Percent
Less than 10%
Functions FinanceStrategy