Vice President - Credit Compliance

Our client is seeking a Vice President of Credit Compliance to join its esteemed New York office. This role presents an unparalleled opportunity for you to assume a central position in upholding the highest standards of compliance across a spectrum of credit strategies, whilst engaging closely with senior leadership and multifaceted teams.

Key Responsibilities

In the capacity of Vice President of Credit Compliance, you will be entrusted with overseeing critical elements of compliance across diverse credit strategies. Your daily undertakings will encompass advising business units on complex regulatory matters, conducting detailed assessments of trading activities, monitoring investment restrictions with precision, reviewing electronic communications for surveillance purposes, collaborating extensively with colleagues from various departments, assisting with regulatory submissions, managing conflicts of interest judiciously, refining operational processes for enhanced efficiency, coordinating policy testing initiatives alongside consultants, and supporting audit functions. Success in this role necessitates exceptional attention to detail coupled with refined interpersonal skills that facilitate effective collaboration throughout the organization. You will have the privilege of contributing meaningfully to the firm’s mission by ensuring that all credit-related endeavors are executed ethically and in strict accordance with industry regulations.

• Provide expert guidance to various business units on intricate compliance matters, including affiliate relationships, conflicts of interest, and cross trades to ensure all activities are conducted in accordance with prevailing regulatory requirements.
• Undertake thorough reviews of trading activities such as allocations, pricing mechanisms, and valuation support to maintain the utmost transparency and accuracy.
• Diligently monitor pre-trade and post-trade investment restrictions to guarantee unwavering adherence to fund mandates and regulatory guidelines at all times.
• Conduct meticulous reviews of electronic communications and trade surveillance indicators to identify potential concerns and uphold rigorous compliance standards.
• Collaborate extensively with colleagues across the Compliance department in support of the Credit business and its investment professionals, thereby fostering a cooperative working environment.
• Assist in the preparation and timely submission of regulatory filings as well as reporting obligations for funds and investment vehicles.
• Identify, escalate, and manage conflicts of interest both within the Credit business unit and across organizational information barriers to safeguard institutional integrity.
• Maintain and refine existing processes by enhancing efficiencies and improving workflows for optimal operational effectiveness.
• Work closely with internal stakeholders and external consultants during the execution of testing procedures for Compliance policies.
• Support internal audits and respond proficiently to regulatory inquiries by providing accurate documentation and authoritative guidance.
  
  

Key Requirements

To excel as Vice President of Credit Compliance, your professional background should reflect substantial tenure within financial services or asset management environments where you have played an integral role in overseeing compliance functions. Your technical acumen should encompass reviewing sophisticated trading activities, monitoring investment restrictions via advanced systems, analyzing electronic communications for surveillance purposes, preparing regulatory filings for varied investment vehicles, identifying conflicts of interest expeditiously, refining operational processes for improved workflow efficiency, collaborating seamlessly with both internal teams and external partners during policy testing exercises, as well as supporting audit functions. In addition to these core competencies, your interpersonal attributes—such as empathy, dependability, and sensitivity towards others’ viewpoints—will enable you to cultivate trust-based relationships throughout the institution. Your unwavering commitment to ethical conduct, combined with your propensity for generous knowledge sharing, will help foster an environment where every individual feels supported.

• Extensive experience in credit compliance or related financial services roles wherein you have provided counsel on complex regulatory matters within prominent organizations.
• Proven capability in conducting comprehensive reviews of trading activities, including allocations, pricing structures, and valuation methodologies within high-volume settings.
• Expertise in monitoring investment restrictions against fund mandates as well as regulatory guidelines, utilizing advanced compliance systems.
• Highly developed analytical skills enabling you to conduct electronic communication reviews and interpret trade surveillance data with accuracy.
• Exceptional interpersonal abilities facilitating effective collaboration across multiple departments, including business operations, accounting, legal affairs, and compliance.
• Experience assisting with regulatory filings and reporting requirements for various categories of funds or investment vehicles within asset management institutions.
• Demonstrated proficiency in identifying conflicts of interest promptly and managing them through established escalation protocols within financial organizations.
• A process improvement orientation evidenced by maintaining or enhancing operational workflows for greater efficiency within compliance functions.
• Ability to work collaboratively with internal stakeholders as well as external consultants during policy testing exercises.
• Familiarity with supporting internal audits or responding to regulatory inquiries through precise documentation coupled with clear communication.
  
  

What Sets This Company Apart

This global asset management institution distinguishes itself through its resolute dedication to cultivating an inclusive workplace where each team member’s perspective is valued.

What's Next

If interested in this position, please contact Ryan Green at Ryan.Green@robertwalters.com