Vice President Compliance

1 month ago

new york city, United States Cardea Group Full time

Senior Associate/VP Compliance – (New York, NY): Our client, an asset manager with over $40B in AUM, is seeking an outstanding compliance professional. As part of a collaborative, supportive, and intelligent team, this new hire will report into the Chief Compliance Officer, providing comprehensive support for the compliance program in accordance with applicable laws and regulations. Offering a valuable opportunity to join a successful firm in a newly created role and gain exposure to all facets of a thriving business.


Key Points:

  • Fund has an extensive track record of strong investment performance across multiple economic cycles
  • Individual will play an integral part of the diverse and cohesive team, sitting in a visible role directly under the CCO
  • Newly created opportunity (our favorites) with ability to make a lasting impact on the firm and the team
  • Current assets exceed $40B and continue to grow, with capital also locked up for an extended period of time
  • The company is proud of hiring top talent and advancing employees from within

Responsibilities:

  • Support in enhancing the compliance program to address evolving regulatory requirements and changes in the business.
  • Collaborate closely with the CCO to offer comprehensive support for the compliance program in line with applicable laws and regulations, with a particular emphasis on the Investment Advisers Act and the Investment Company Act.
  • Assist with key compliance issues related to the 1940 Act, including but not limited to testing and periodic reviews, service provider oversight, regulatory filings, and Board reporting.
  • Assist in conducting annual reviews of the Funds, Adviser, and broader compliance policies and procedures, while ensuring the firm is equipped for any future SEC examinations.
  • Manage the coordination with internal teams to compile and prepare regulatory filings, disclosures, and reports as specified by regulatory authorities (e.g., Form ADV, Form PF).
  • Engage with enterprise compliance to oversee Code of Ethics monitoring, conduct risk assessments, manage internal audits, perform compliance testing, and monitor service providers.
  • Support the review of marketing materials, due diligence responses, and other fundraising and reporting documents from a regulatory and compliance perspective, as well as other general compliance matters and projects as needed.

Qualifications:

  • 4-7 years of relevant experience in a compliance role at an asset management firm; experience with private funds and/or business development companies is preferred.
  • Bachelor’s degree required, JD a plus
  • Extensive understanding of regulatory frameworks for U.S. investment managers, including knowledge of the Investment Company Act of 1940, the Investment Advisers Act, and FINRA regulations.
  • Self-motivated with an entrepreneurial mindset and a focus on achieving results.
  • Excels in a fast-paced, rigorous work environment, effectively prioritizing and meeting deadlines.
  • Proficient in analyzing issues and developing innovative solutions.
  • Outstanding at multitasking with a keen attention to detail.

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