Confidential
Vice President, Compliance
About the Company
Reputable financial institution with a global presence
Industry Financial Services
Type Privately Held
About the Role
The Company is in search of a Senior Compliance Officer to join its U.S. compliance team. This pivotal role is dedicated to supporting the firm's SEC-registered investment adviser, providing guidance on compliance with U.S. and global regulatory requirements, and advising on matters related to private funds and separately managed accounts. Key responsibilities for the Senior Compliance Officer include overseeing and assisting with regulatory filings, managing the Code of Ethics program, reviewing and monitoring expert network requests, and ensuring that the firm's policies and procedures are in line with regulatory changes and business growth. The successful candidate will also be expected to monitor regulatory developments and provide practical guidance to the business, as well as partner with global compliance teams on various compliance matters.
Applicants for the Senior Compliance Officer position should have a minimum of 7 years' of compliance experience within an investment adviser, asset manager, or private funds environment. A strong working knowledge of SEC and CFTC/NFA regulations is essential, with familiarity with FCA or other global regulators being a plus. The role requires hands-on experience in preparing or overseeing regulatory filings, the ability to advise senior stakeholders, and a proven track record of being a trusted compliance partner to the business. The ideal candidate will possess strong judgment, analytical skills, and the ability to manage multiple priorities in a fast-paced environment. This is an excellent opportunity for a compliance professional to make an immediate impact and grow into a senior leadership track within a global firm.
Travel Percent Less than 10%
Functions
Finance
About the Company
Reputable financial institution with a global presence
Industry Financial Services
Type Privately Held
About the Role
The Company is in search of a Senior Compliance Officer to join its U.S. compliance team. This pivotal role is dedicated to supporting the firm's SEC-registered investment adviser, providing guidance on compliance with U.S. and global regulatory requirements, and advising on matters related to private funds and separately managed accounts. Key responsibilities for the Senior Compliance Officer include overseeing and assisting with regulatory filings, managing the Code of Ethics program, reviewing and monitoring expert network requests, and ensuring that the firm's policies and procedures are in line with regulatory changes and business growth. The successful candidate will also be expected to monitor regulatory developments and provide practical guidance to the business, as well as partner with global compliance teams on various compliance matters.
Applicants for the Senior Compliance Officer position should have a minimum of 7 years' of compliance experience within an investment adviser, asset manager, or private funds environment. A strong working knowledge of SEC and CFTC/NFA regulations is essential, with familiarity with FCA or other global regulators being a plus. The role requires hands-on experience in preparing or overseeing regulatory filings, the ability to advise senior stakeholders, and a proven track record of being a trusted compliance partner to the business. The ideal candidate will possess strong judgment, analytical skills, and the ability to manage multiple priorities in a fast-paced environment. This is an excellent opportunity for a compliance professional to make an immediate impact and grow into a senior leadership track within a global firm.
Travel Percent Less than 10%
Functions
Finance