VP, Compliance (New York, NY): Our client, a $40B investment manager with a multitude of investment products, is looking for a dedicated compliance professional to step into a newly established position. Acting as a generalist, the role involves assisting in and managing key compliance-related projects and initiatives, while collaborating closely with senior and junior team members to advance projects, support business growth, and serve as a trusted advisor to the firm. Specifically covering the team's insurance and consumer compliance investment lines, the ideal candidate will have experience across these areas.

Key Points:

• Newly created role offering significant upside potential and providing the opportunity to take on responsibilities to make a meaningful impact on the business.
• Opportunity to work closely with both senior and junior team members and grow into a trusted advisory role.
• The firm is extremely successful, swiftly growing and expanding its investment strategies, and diverse in investment product offerings.
• In office 4 days/week.

Responsibilities:

• Monitor regulatory developments and establish procedures to ensure the platform's compliance with all relevant rules and regulations.
• Support the drafting of policies and procedures, as well as the development 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 such as ADV, Form PF, and AIFMD filings.
• 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.

Qualifications:

• 7 years of broad regulatory and compliance experience, preferably including experience with private funds.
• Previous in-house experience at a private fund investment adviser is preferred; previous experience ideally includes drafting policies and procedures as well as 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

Job Reference #1956