Associate Director, Compliance - Private Wealth

Position Summary

Vista Equity Partners (“Vista”) is seeking to hire an Associate Director to assist with the management and build out of the compliance program for Vista’s dedicated private equity wealth platform. The role will have broad exposure to a wide variety of compliance-related topics and areas including, but not limited to, U.S. and Luxembourg regulatory frameworks governing the offering and operation of private wealth products, regulatory reporting, board management and reporting, compliance training, compliance testing, designing and implementing policies and procedures, etc.  This individual will have an active role in supporting the operation of the private wealth business, foster a business-oriented compliance function, and help the organization embrace compliance.  This role will be largely dedicated to supporting the private equity wealth platform, though the candidate will collaborate with resources across Vista’s broader Legal & Compliance function.

Successful candidates will possess a high level of personal accountability and be self-motivated. A strong work ethic, strong organizational skills, and the ability to work as a part of a team or individually with limited supervision is key to the success of a candidate. This is a highly visible and impactful role that will require excellent communication skills and a professional demeanor.

This role can be based in San Francisco, CA (preferred location) or New York, NY and is for an immediate start.

Responsibilities

• Support the day-to-day operations of the private equity wealth business as lead compliance and regulatory liaison
• Manage governance framework, including interactions with and reporting to fund boards
• Manage regulatory filing obligations across global jurisdictions
• Partner with Fund Formation and Capital & Partner Solutions team to maintain current offering & disclosure documents
• Partner with Capital & Partner Solutions and Finance team in production, review, and distribution of reporting to investors
• Ownership of compliance workflows in Vista’s operating management systems
• Implement and maintain all key facets of a best in class dedicated compliance function
• Oversee regular email review and surveillance, as well as weekly, monthly, and annual testing to detect potential regulatory violations and ensure compliance with regulations and firm policies
• Lead and drive forward key compliance and regulatory-related projects and initiatives
• Partner with members of the private wealth team and other functions to identify, address and mitigate potential or actual regulatory risks associated with the private wealth business and/or the products it manages
• Generate and execute on innovative ideas to enhance the compliance function
• Provide other ad hoc compliance support as needed, and liaise with various groups within the firm (including Finance, Marketing, Fund Formation and Capital & Partner Solutions teams)

Qualifications

• Bachelor’s Degree or equivalent experience
• 7 years of relevant experience working in a compliance function at an SEC-registered investment adviser, or at a regulator or law firm. The candidate must possess a thorough understanding of the Investment Advisers Act of 1940 and certain aspects of the Investment Company Act
• Experience in private wealth, BDC, or registered funds compliance
• Demonstrated ability to work both collaboratively and independently in a fast-paced and dynamic environment, and manage complex workflows, and self motivate
• Strong organizational, analytical, written, and verbal communication skills
• Excellent time management, organization, and project management skills. Ability to own projects from start to finish with great attention to detail with little oversight
• Experience working with Excel, PowerPoint, and developing and maintaining various analysis and reporting tools

The annualized base pay range for this role is expected to be between $175,000-250,000.  Actual base pay could vary based on factors including but not limited to experience, subject matter expertise and the applicant's skill set.  The base pay is just one component of the total compensation package for employees.  Other rewards may include an annual cash bonus and a comprehensive benefits package. 

Company Overview

Vista is a leading global investment firm that invests exclusively in enterprise software, data and technology-enabled organizations across private equity, credit and permanent capital strategies. The firm brings an approach that prioritizes creating enduring market value for the benefit of its global ecosystem of investors, companies, customers and employees. Vista’s investments are anchored by a sizable long-term capital base, experience in structuring technology-oriented transactions and proven, flexible management techniques that drive sustainable growth. Vista believes the transformative power of technology is the key to an even better future – a healthier planet, a smarter economy, a diverse and inclusive community and a broader path to prosperity. Further information is available at vistaequitypartners.com. Follow Vista on LinkedIn @Vista Equity Partners or Twitter @Vista_Equity.

#LI-Hybrid

#LI-JK1

Salary : $175,000 - $250,000