Vice President of Compliance
1 week ago
Vice President of Compliance
About the Company
Reputable global investment firm
Industry
Investment Management
Type
Privately Held
About the Role
The Company is seeking a Vice President of Compliance to join its Legal and Compliance team. The successful candidate will be responsible for supervising the firm's compliance and code of ethics program, offering ad hoc compliance support to employees, staying updated on the regulatory landscape, and overseeing the preparation of various regulatory filings. This role requires at least 7 years of experience in a compliance position within an SEC-registered investment adviser organization, with a focus on private equity and/or credit. The candidate should have a comprehensive understanding of relevant laws and regulations, strong discernment, attention to detail, and the ability to work autonomously.The ideal candidate for the Vice President of Compliance position at the company will be a mature and thoughtful regulatory compliance professional with a proven track record. They should be adept at clear and effective communication, have strong interpersonal skills, and be able to engage with management, colleagues, and external parties with tact. The role offers the opportunity to work as a generalist across all areas of compliance for a growing firm, with the potential for the role to expand over time. The candidate must be adaptable, resourceful, and demonstrate a desire to take on additional projects. Responsibilities also include supporting the management of the firm's restricted list, reviewing marketing materials for compliance, and addressing investor inquiries.
Travel Percent
Less than 10%
Functions
Finance
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