Vice President Or Senior Vice President Of Compliance

Overview

• Lead compliance initiatives for a dynamic investment firm, ensuring adherence to regulatory standards and industry best practices.
• Develop and implement comprehensive compliance programs tailored to organizational needs and strategic goals.
• Collaborate with cross-functional teams to support regulatory compliance and operational excellence.
• Oversee regulatory filings, ensuring accuracy, timeliness, and compliance with applicable laws.
• Conduct compliance training sessions to foster a culture of integrity and accountability.
• Manage governance frameworks for innovative investment strategies, including technology-driven approaches.
• Coordinate with external counsel to address legal and compliance matters effectively.
• Prepare for regulatory audits and examinations, ensuring organizational readiness and compliance.

Key Responsibilities & Duties

• Develop, maintain, and enhance compliance policies, procedures, and testing frameworks for the firm.
• Lead the preparation and submission of regulatory filings, including Form ADV amendments.
• Oversee surveillance activities, including personal trading and electronic communications reviews.
• Review marketing materials and client communications for regulatory compliance and accuracy.
• Support governance for AI/ML-driven investment strategies, ensuring compliance and risk mitigation.
• Collaborate with external legal counsel to address complex regulatory interpretations.
• Deliver compliance training programs to enhance team awareness and adherence to standards.
• Prepare for and manage regulatory audits, ensuring thorough documentation and compliance readiness.

Job Requirements

• Bachelor’s degree required; advanced degree or JD preferred.
• Minimum 8 years of compliance experience at an SEC-registered investment adviser.
• Expertise in the Investment Advisers Act of 1940 and SEC regulations.
• Proven ability to build and enhance compliance programs in dynamic environments.
• Proficiency with compliance tools such as Bloomberg and ComplySci.
• Experience with governance for technology-driven investment strategies preferred.
• Strong analytical, organizational, and communication skills.
• Ability to work independently and collaboratively across diverse teams.