Vice President Compliance

2 months ago

New York, United States Cardea Group Full time

VP, Compliance – Asset Based Finance (New York, NY): Our client, a $50B multi-strat fund with an international reach, is looking for a dedicated compliance professional to sit in a newly established position. Acting as a generalist and with a focus on supporting the asset-based finance group, the VP will manage key compliance-related projects and initiatives, while collaborating closely with senior and junior team members to advance projects, support business growth, and serve as a trusted advisor to the firm.

Key Points:

  • Excellent opportunity to ‘make your mark’ as this is a newly created role offering growth potential and the ability to make a meaningful impact on the business.
  • Highly visible role with a fair amount of autonomy.
  • Firm is extremely successful, meticulously growing its investment strategies, offering diverse investment products.

Responsibilities:

  • Monitor regulatory developments and establish procedures to ensure the platform's compliance with all relevant rules and regulations.
  • Support the drafting of policies and procedures, as well as the development of new compliance initiatives, in response to the evolving compliance environment and business needs.
  • Prepare for and respond to regulatory inquiries and examinations, preparation of regulatory reports, and testing documentation, and fulfill reporting obligations such as ADV, Form PF, and AIFMD filings.
  • Review marketing and investor relations materials, assist with compliance testing and surveillance, and support transactional and counterparty KYC processes.
  • Identify, escalate, and manage conflicts of interest across regional and global groups.
  • Develop and deliver ongoing compliance training for employees and new hires.

Qualifications:

  • 7+ years of broad regulatory and compliance experience, preferably including experience with private funds.
  • Experience with Asset Based Finance or Consumer Finance strongly desired.
  • Previous in-house experience at a private fund investment adviser is preferred ideally with experience drafting policies and procedures and conducting compliance testing.
  • A proactive mindset with a strong eagerness to explore new areas of the financial industry.
  • Highly motivated, leads by example, and adopts a team-first attitude; self-driven and willing to collaborate across multiple offices.
  • Ability to manage multiple tasks simultaneously and work under pressure, with strong analytical and problem-solving skills.

Compensation: $300-350K all-in

Job Reference #1956

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