Senior Vice President of Investment Compliance

Senior Vice President of Investment Compliance

About the Company

Join a prestigious investment management firm known for its excellence.

Industry
Financial Services

Type
Privately Held

About the Role

We are looking for a driven and experienced Senior Vice President of Investment Compliance to become a key member of our dynamic team. In this pivotal role, you will ensure compliance with a diverse range of client guidelines, internal frameworks, and regulatory requirements across various investment products, including private funds, separately managed accounts, and registered products.

Your expertise will be critical in fostering productive relationships with Portfolio Managers and Traders, offering insightful guidance on compliance with investment and trading laws, and overseeing ESG matters. Additionally, you will spearhead the implementation and enhancement of monitoring measures and authoring comprehensive policies and procedures that reflect both business needs and regulatory developments.

The ideal candidate will possess a Bachelor's degree coupled with a minimum of 7 years of relevant experience, with preference given to candidates holding a CFA, CAIA, or FRM designation. Your strong understanding of equity and derivative instruments, alternative investment strategies, and applicable laws, rules, and regulations will be vital for your success in this role.

We seek someone who is not only intelligent, energetic, and goal-oriented but also possesses exceptional communication skills and thrives in a collaborative environment. A self-starter who is detail-oriented, well-organized, and adept at managing multiple projects while meeting tight deadlines will excel in this position.

Travel Percent
Less than 10%

Functions

• Finance