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Compliance Vice President
2 months ago
Compliance Leader for Asset-Based Finance
Cardea 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, and serve as a trusted advisor to the firm.
Key Responsibilities:
- Monitor regulatory developments and establish procedures to ensure the platform's compliance with all relevant rules and regulations.
- Support the development of policies and procedures, as well as the implementation 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.
- 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.
Requirements:
- 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
