Ria Compliance Vice President Or Senior Vice President

Overview

• Lead compliance initiatives for an SEC-registered investment adviser, focusing on regulatory filings, policies, and governance frameworks.
• Collaborate with investment and management teams to ensure adherence to compliance standards in trading and documentation processes.
• Develop and maintain compliance programs, including policies, procedures, controls, testing, and documentation.
• Oversee personal trading surveillance and electronic communication reviews under the firm's Code of Ethics.
• Review marketing materials, RFPs, and client communications for regulatory compliance and firm policies.
• Support governance and disclosure controls related to AI/ML use in investment strategies.
• Coordinate with external counsel and manage regulatory interpretations and compliance documentation.
• Deliver compliance training and onboarding for new hires, fostering a culture of adherence.

Key Responsibilities & Duties

• Prepare and file Form ADV and manage amendments and regulatory filings post-registration.
• Design and implement compliance policies, procedures, and controls tailored to a public-markets asset management business.
• Conduct surveillance of personal trading and electronic communications under the firm's Code of Ethics.
• Review and ensure compliance of marketing materials, RFPs, and client communications with regulatory standards.
• Support AI/ML governance, including model oversight, vendor due diligence, and conflict identification.
• Assist in regulatory examinations and audits, ensuring compliance readiness.
• Collaborate with external counsel on legal and compliance issues, providing regulatory interpretation and documentation support.
• Conduct firm-wide compliance training and onboarding for new staff members.

Job Requirements

• Bachelor’s degree required; JD or advanced degree preferred.
• 10+ years of compliance experience at an SEC-registered investment adviser, focusing on public markets.
• Strong knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements.
• Proficiency with compliance surveillance tools such as Bloomberg and ComplySci.
• Experience with AI/ML governance or compliance for technology-driven investment strategies is a plus.
• Excellent written and verbal communication skills, with attention to detail and analytical capabilities.
• Ability to work independently and collaboratively with staff at all levels.
• Proficiency in Microsoft Office suite, including Excel, Word, and PowerPoint.