Vice President Or Senior Vice President Of Compliance

Overview

• Lead compliance efforts for a public-markets asset management firm, ensuring adherence to SEC regulations and industry standards.
• Design and implement compliance programs, policies, and procedures tailored to the firm's operational needs.
• Collaborate with investment and management teams to support regulatory and operational compliance requirements.
• Oversee regulatory filings, including Form ADV amendments, ensuring accuracy and timeliness.
• Conduct compliance training and onboarding for new hires, fostering a culture of compliance.
• Support governance and disclosure controls for AI/ML-driven investment strategies and related processes.
• Coordinate with external counsel and manage legal and compliance documentation effectively.
• Prepare for and support regulatory examinations and audits, ensuring readiness and compliance.

Key Responsibilities & Duties

• Lead the preparation and filing of regulatory documents, including Form ADV and amendments.
• Develop and maintain compliance policies, procedures, and testing frameworks for the firm.
• Oversee personal trading surveillance and electronic communications reviews under the firm's Code of Ethics.
• Review marketing materials, RFPs, DDQs, and client communications for regulatory compliance.
• Support AI/ML governance, including model governance, vendor due diligence, and conflict identification.
• Coordinate with external counsel on legal and compliance issues, providing regulatory interpretation.
• Deliver compliance training and conduct onboarding sessions for new employees.
• Prepare for regulatory examinations and audits, ensuring compliance readiness and documentation accuracy.

Job Requirements

• Bachelor’s degree required; JD or advanced degree preferred.
• 10+ years of compliance experience at an SEC-registered investment adviser focused on public markets.
• Strong knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements.
• Experience in building and enhancing compliance programs in early-stage environments.
• Proficiency with compliance surveillance tools such as Bloomberg and ComplySci.
• Exposure to AI/ML governance or compliance for technology-driven investment strategies preferred.
• Excellent communication, organizational, and analytical skills.
• Ability to work independently and collaborate effectively with teams at all levels.