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Vice President Compliance

3 months ago

New York, United States Atlantic Group Full time

Location: Midtown Manhattan

Compensation: $200k-$250k base + bonus

Our client, a $7 billion+ AUM real estate private equity firm is seeking a Vice President, Compliance to join their Legal and Compliance team.

Responsibilities will include:

  • Review marketing materials for compliance purposes
  • Review client communications and sales materials
  • Drafting and maintaining compliance policies and procedures, including, Code of Ethics and Compliance Manual
  • Performing reviews and testing of compliance policies and procedures, including the preparation of reports
  • Assist in the preparation and filing of all SEC reporting, including Forms ADV, PF and Schedules 13D, F, G and H, CFTC, as necessary
  • Review key fund documents related to investment vehicle formation
  • Review side letters to ensure investor requests are in alignment with firm controls and standards
  • Prepare placement agreements with distributors
  • Research and synthetize advice for sales professionals relating to cross border activities and when engaging with US (state, county and municipal) employees
  • Prepare memoranda related to significant issues, including the management of MNPI and trade/investment allocations
  • Assist in the review of Code of Ethics reporting, including personal securities transactions, political contributions, gifts and entertainment, etc. via the Compliance Alpha tool
  • Work with CCO and Director of IT on joint Compliance/IT initiatives.
  • Coordinate the Firms response to regulatory and/or mock examinations, including document production, response to inquiries and interviews
  • Assist with implementation of the Vendor Risk Management program
  • Review and update training plan and training materials & Provide initial and annual training to employees

Qualified candidate must have:

  • Experience reviewing marketing materials
  • Bachelor's degree, JD is helpful but not required
  • 7+years of prior compliance experience within asset management industry is required; PE Real Estate experience a plus
  • Excellent written and verbal communication skills
  • Ability to work effectively independently as well as in a team setting
  • Strong attention to detail
  • Ability to lead projects and initiatives