Regulatory & Compliance, Registered Funds - SVP

Key Responsibilities

• Serve as a subject matter resource on U.S. regulatory frameworks governing pooled investment vehicles and asset management activities.
• Track and interpret changes in applicable regulations, industry guidance, and supervisory expectations, assessing their impact on investment products and business operations.
• Provide strategic compliance support for investment product initiatives, identifying regulatory considerations and developing practical risk-based solutions.
• Partner with investment, product development, operations, legal, and other business teams to support product design, operational processes, investment activities, client communications, and regulatory obligations.
• Lead compliance workstreams associated with new product launches, enhancements, and organizational initiatives from planning through implementation.
• Develop and maintain policies, procedures, and internal controls designed to support regulatory compliance and operational effectiveness.
• Oversee product-related compliance activities, including monitoring disclosures, investigating operational exceptions, and supporting required regulatory submissions.
• Conduct ongoing reviews and surveillance of investment activity, portfolio restrictions, and internal guidelines to identify and address potential compliance concerns.
• Perform compliance testing, monitoring, reporting, and issue-management activities, ensuring findings are appropriately documented and remediated.
• Coordinate and evaluate compliance oversight activities involving external service providers and professional partners, including operational, legal, and financial support organizations.
• Support regulatory examinations, internal reviews, audits, and related inquiries by gathering information, preparing documentation, and facilitating responses.
• Promote a culture of compliance through collaboration, training, and continuous process improvement initiatives.