Vice President, Compliance Officer
About the Company
Globally recognized alternative investment management firm
Industry
Investment Management
Type
Privately Held
About the Role
The Company is in search of a Vice President, Compliance Officer to join its global Compliance team. The successful candidate will be dedicated to the firm's private fund businesses, including private equity, private credit, and real estate strategies. This role is pivotal in supporting the development, execution, and enhancement of the firm's compliance framework to meet various global regulatory obligations. Key responsibilities include regulatory program management, fund and transactional compliance oversight, policy development and training, surveillance and testing, and stakeholder engagement. The ideal candidate will have a minimum of 8-10 years' compliance experience, with a strong background in private fund strategies and a deep knowledge of relevant regulations. Applicants for the Vice President, Compliance Officer position at the company should have a minimum of 8-10 years' of compliance experience, with a preference for those holding a JD, MBA, or professional compliance certification. The role requires a candidate with a strong understanding of the Investment Advisers Act of 1940, SEC regulations, and CFTC/NFA rules, as well as experience in regulatory filings and SEC marketing rule compliance. The candidate must be adept at advising on compliance matters, managing competing priorities, and operating with high integrity and sound judgment. Strong interpersonal skills and the ability to engage with stakeholders at all levels are essential, as is the capacity to work in a fast-paced environment with a collaborative, business-minded approach.
Travel Percent
Less than 10%
Functions
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