| Job Information |
Our global Investment Management client is seeking to recruit a VP Compliance to manage compliance, business conflicts and regulatory risk initiatives for the firm’s alternative investment private credit business.
Responsibilities:
- Serve as the key point of contact for compliance, business conflicts and regulatory risk management initiatives for the firm’s alternative investment private credit business
- Manage information barriers (MNPI) related to private credit business conflicts of interest
- Review, analyze and implement new regulations or changes to existing regulations
- Prepare, review and implement new policies, procedures and internal controls
- Implement and/or enhance private credit investing compliance programs and controls to meet existing and new regulatory risk requirements
- Perform testing and oversight for private credit investing
- Perform surveillance, management reporting and KPI analysis and escalate important issues to senior management
- Provide compliance and regulatory support to colleagues in other advisory business units as required
Requirements:
- Bachelor’s Degree; MBA or JD preferred
- 5+ years’ regulatory compliance experience in the private credit or alternative investment management industry
- Deep knowledge of US securities laws and compliance regulations pertaining to private credit investing
- Fundamental experience developing and supporting robust compliance and control frameworks
- Strong critical thinking and sound judgement skills
- Ability to collaborate effectively in a fast paced global team environment
- Proven ability to identify, analyze and resolve complex problems
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