1119 Vice President Compliance Jobs in New York, NY
Atlantic Group is Hiring a Vice President Compliance Near New York, NY
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 Firm’s 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
Job Summary
Full Time
$223k-303k (estimate)
06/25/2024
07/08/2024
PARIS, MO
100 - 200
2016
$10M - $50M
Related Companies
The following is the career advancement route for Vice President Compliance positions, which can be used as a reference in future career path planning. As a Vice President Compliance, it can be promoted into senior positions as a Top Ethics Officer that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Vice President Compliance. You can explore the career advancement for a Vice President Compliance below and select your interested title to get hiring information.
