Current jobs related to Vice President Compliance, Generalist - New York - Bn Private Equity Firm

  • Assistant Vice President, Compliance

    2 days ago

    New York, United States Brookfield Asset Management Full time

    The Firm is seeking to add a Compliance resource to the BOWS Legal and Regulatory Team in its New York office. The position offers a great opportunity for an individual with a hands-on approach to become an integral part of the BOWS Legal and Regul Vice President, Compliance, Assistant, President, Regulatory, Marketing Specialist, Management

  • Vice President of Compliance Oversight

    4 weeks ago

    New York, New York, United States Barclays Full time

    Role OverviewAs the Vice President of Compliance Oversight at Barclays, you will play a pivotal role in supporting the Americas Chief Compliance Office. Your primary responsibility will be to assist the Director in generating management information and insights related to the firm's compliance with applicable laws and regulations, ensuring that Compliance...

  • Compliance Advisory Vice President

    2 weeks ago

    New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

    Compliance Advisory Vice PresidentSumitomo Mitsui Banking Corporation is a leading global financial institution with a rich history and diverse range of financial services. Our Compliance Advisory team plays a critical role in ensuring the firm's operations are in compliance with regulatory requirements.The Compliance Advisory Vice President will assist in...

  • Senior Vice President of Compliance

    4 weeks ago

    New York, New York, United States The Goldman Sachs Group, Inc. Full time

    Position OverviewSenior Vice President of Compliance at The Goldman Sachs Group, Inc.This role involves overseeing compliance measures and providing essential guidance on conducting operations in alignment with relevant rules, regulations, and industry standards.Key ResponsibilitiesEnsure adherence to compliance protocols and regulatory requirements.Offer...

  • Compliance Attorney Vice President

    4 days ago

    New York, New York, United States Social Capital Resources Full time

    Compliance Attorney Vice PresidentTop-Tier Commercial Bank is seeking a seasoned Compliance / Regulatory Attorney at the VP level to lead the bank's corporate compliance program and policies.Key Responsibilities:Develop and implement effective compliance strategies to mitigate risks and ensure regulatory compliance.Provide expert advice and guidance on U.S....

  • Compliance Vice President

    3 weeks ago

    New York, New York, United States Cardea Group Full time

    Compliance Leader for Asset-Based FinanceCardea Group is seeking a seasoned Compliance professional to lead our Asset-Based Finance team. As a Compliance Vice President, you will be responsible for managing key compliance-related projects and initiatives, collaborating closely with senior and junior team members to advance projects, support business growth,...

  • Compliance Advisory Vice President

    1 week ago

    New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

    Compliance Advisory Vice PresidentSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history dating back to 1609. As a top-tier bank, SMBC offers a wide range of financial services, including corporate and investment banking, securities, and consumer finance. With over 130 offices and 80,000 employees worldwide,...

  • Compliance Advisory Vice President

    2 weeks ago

    New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

    Compliance Advisory Vice PresidentSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history dating back to 1609. As a top-tier bank, SMBC offers a wide range of financial services, including corporate and investment banking, securities, and consumer finance. With over 130 offices and 80,000 employees worldwide,...

  • Compliance Advisory Vice President

    2 weeks ago

    New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

    Compliance Advisory Vice PresidentSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history dating back to 1609. As a top-tier bank, SMBC offers a wide range of financial services, including banking, leasing, securities, credit cards, and consumer finance. With over 130 offices and 80,000 employees worldwide,...

  • Vice President Compliance

    4 months ago

    New York, United States Social Capital Resources Full time

    Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risksMaintain business line and support function policies and procedures addressing compliance requirements, including...

  • Vice President Compliance

    4 months ago

    New York, United States Social Capital Resources Full time

    Top-Tier Bank in Midtown, Manhattan is seeking a Vice President of Compliance to support their Front Office!Responsibilities:Support the implementation and execution of compliance initiatives, processes, and controls that manage compliance risksMaintain business line and support function policies and procedures addressing compliance requirements, including...

  • Vice President Compliance

    2 weeks ago

    New York, United States Interactive Resources - iR Full time

    The Vice President, Compliance Officer is responsible for acting in an advisory capacity to the Advanced Clearing and Prime Services (ACaPS) Division and Fixed Income, Commodities, Currencies and Stock Lending Division (FICCS) as well as the Operations Department. Activities in these departments include correspondent clearing services, prime brokerage...

  • Vice President Compliance

    2 weeks ago

    New York, United States Interactive Resources - iR Full time

    The Vice President, Compliance Officer is responsible for acting in an advisory capacity to the Advanced Clearing and Prime Services (ACaPS) Division and Fixed Income, Commodities, Currencies and Stock Lending Division (FICCS) as well as the Operations Department. Activities in these departments include correspondent clearing services, prime brokerage...

  • Vice President Compliance

    1 month ago

    New York, United States Cardea Group Full time

    VP, Compliance - Marketing (New York, NY): Our client, a prominent asset manager with more than $40B in AUM, is looking to hire an exceptional Vice President of Compliance with a focus on marketing material review. This leadership position involves overseeing investor and third-party communications while providing guidance on compliance issues related to...

  • Vice President Compliance

    1 month ago

    New York, United States Cardea Group Full time

    VP, Compliance - Marketing (New York, NY): Our client, a prominent asset manager with more than $40B in AUM, is looking to hire an exceptional Vice President of Compliance with a focus on marketing material review. This leadership position involves overseeing investor and third-party communications while providing guidance on compliance issues related to...

  • Senior Vice President of Compliance Oversight

    4 weeks ago

    New York, New York, United States Coda Search│Staffing Full time

    Position Overview:The role of Senior Vice President of Compliance Oversight is a critical position within a distinguished organization. The incumbent will be tasked with implementing the annual compliance assessment and oversight strategy, defining the review parameters, fostering relationships with essential stakeholders, and managing the resolution of...

  • Vice President of Compliance for Municipal Securities

    4 weeks ago

    New York, New York, United States TD Bank N.A Full time

    Position Overview: We are seeking a Vice President of Compliance for Municipal Securities to enhance our compliance advisory capabilities. The successful candidate will possess extensive experience in compliance advisory roles specifically within the Municipal Securities sector. Key Responsibilities: - Provide expert compliance guidance and support in...

  • Vice President Compliance

    2 weeks ago

    new york city, United States Interactive Resources - iR Full time

    The Vice President, Compliance Officer is responsible for acting in an advisory capacity to the Advanced Clearing and Prime Services (ACaPS) Division and Fixed Income, Commodities, Currencies and Stock Lending Division (FICCS) as well as the Operations Department. Activities in these departments include correspondent clearing services, prime brokerage...

  • Compliance Policy Governance Vice President

    2 days ago

    New York, New York, United States Goldman Sachs Full time

    Job Title: Compliance Policy Governance Vice PresidentJoin Goldman Sachs as a Compliance Policy Governance Vice President and play a key role in driving our Corporate Policy Governance Framework forward. As a member of our Core Compliance Team, you will collaborate with first- and second-line teams, including Risk, businesses, functions, engineering, and...

  • Vice President Compliance

    7 days ago

    new york city, United States Cardea Group Full time

    VP, Compliance - Marketing (New York, NY): Our client, a prominent asset manager with more than $40B in AUM, is looking to hire an exceptional Vice President of Compliance with a focus on marketing material review. This leadership position involves overseeing investor and third-party communications while providing guidance on compliance issues related to...

Vice President Compliance, Generalist

3 months ago

New York, United States $6Bn Private Equity Firm Full time

Firm: $6Bn Global Private Equity

Title: Vice President of Compliance, Generalist

Compensation: $250k-300k total comp

Location: NYC [Midtown]

Hybrid Work: In office 4 days, WFH 1 day

Position Overview: We are hiring a Vice President of Compliance for our private equity firm, we specialize in real estate investments and have a global presence.

Team and Reporting

  • Join a five-person legal and compliance team
  • Report to the Global Chief Compliance Officer

Candidate Requirements

  • Minimum 7 years of investment advisory compliance experience
  • Experience in marketing material review is required
  • JD and real estate experience are preferred, but not a requirement

Responsibilities

  • Compliance Reviews: Evaluate marketing materials, sales materials, client communications, and fund documents
  • Policy Management: Draft, maintain, and update compliance policies and procedures, including the Code of Ethics and Compliance Manual
  • Issue Resolution and Reporting: Handle general compliance issues, perform reviews and testing of compliance policies, and prepare necessary reports
  • Regulatory Filings and Monitoring: Assist with SEC filings [Form ADV, PF, 13D, F, G, H] and stay updated on regulatory developments to adjust firm policies and procedures accordingly
  • Training and Development: Conduct initial and annual training for employees, and review and update training materials, plans etc.
  • Regulatory Coordination: Coordinate the firms response to regulatory examinations, including document production, inquiry responses, and active participation in key committees

[38639]