Vice President Compliance

We are currently partnering with a New York-based asset manager (SEC-registered investment adviser and CFTC-registered CTA/CPO) that is looking to add a Vice President, Compliance Officer to its Compliance team.

This role supports the firm’s overall compliance program, ensuring adherence to the Investment Advisers Act of 1940, Commodity Exchange Act, and related regulatory requirements. The position will oversee day-to-day compliance surveillance activities, including Code of Ethics administration, personal trading monitoring, marketing material reviews, AML/OFAC due diligence, conflicts management, and electronic communications surveillance.

The VP will also work closely with the CCO on regulatory filings (Form ADV, Form PF, CPO-PQR, CTA-PR), policy and procedure updates, compliance training initiatives, and regulatory examinations while monitoring evolving regulatory developments impacting the business.

The opportunity offers strong senior leadership exposure and broad compliance coverage within a well-established investment management platform.

Overview:

• Support the firm’s compliance program to ensure adherence to applicable regulations, including the Investment Advisers Act of 1940 and the Commodity Exchange Act.

• Review marketing and investor materials, including pitch books, DDQs, RFPs, and monthly reporting, and assist with investor due diligence.

• Conduct day-to-day compliance monitoring, including Code of Ethics oversight (personal trading, reporting, restricted lists), conflicts management, electronic communications surveillance, AML/OFAC checks, and broker/best execution reviews.

• Assist with regulatory filings (Form ADV, Form PF, CPO-PQR, CTA-PR) and regulatory, audit, and consultant requests.

• Support compliance reporting, training programs, and policy and procedure updates.

• Conduct service provider due diligence and monitor evolving regulatory developments to ensure ongoing compliance.