VP of Compliance

Alternative Asset Manager seeks Vice President to join their Compliance team in New York.

Responsibilities:

• Provide guidance, education, and support to employees across the organization on compliance, regulatory, and related risk matters while fostering a strong compliance culture.
• Advise business personnel on compliance-related issues and escalate matters to senior compliance leadership as appropriate.
• Review and support the negotiation of confidentiality agreements and other transaction-related documentation.
• Review business and transactional materials for potential regulatory or compliance risks, including matters related to material non-public information.
• Partner with investment, operations, finance, product, and other internal teams to address day-to-day compliance and operational matters.
• Review and approve marketing, advertising, and client communications materials to ensure regulatory compliance and proper recordkeeping.
• Assist in the development, implementation, and ongoing maintenance of the firm’s compliance policies and procedures.
• Support compliance monitoring and testing programs, including evaluation of internal controls, processes, and systems designed to meet regulatory requirements.
• Participate in internal and external compliance reviews and audits.
• Maintain oversight of regulatory registrations, filings, and communications with applicable regulatory authorities.
• Assist in investigating and resolving compliance matters and inquiries.
• Monitor regulatory developments and assess potential impacts on business activities and compliance frameworks.

Qualifications:

• Bachelor’s degree required; JD preferred
• Approximately 5 years of compliance, legal, or regulatory experience within investment management, financial services, or a related industry.
• Working knowledge of regulatory frameworks applicable to investment advisers and financial institutions.
• Experience supporting or administering elements of a compliance program within a regulated environment.
• Ability to manage multiple priorities in a fast-paced setting.
• Strong analytical, organizational, and problem-solving skills.
• Excellent written and verbal communication skills with the ability to engage a wide range of stakeholders.
• Demonstrated ability to build relationships and collaborate across teams and seniority levels.
• High attention to detail and strong project management capabilities.
• Self-starter with a hands-on approach and willingness to engage in both strategic initiatives and day-to-day execution.
• Sound judgment, professionalism, and a high level of integrity.