| Job Information |
Our elite global Alternative Investment Management client is seeking to recruit a VP of Compliance with demonstrated investment advisory industry experience and comprehensive knowledge of the Investment Advisers Act and Investment Company Act.
Responsibilities:
- Assist in developing, implementing and maintaining the firm’s investment adviser compliance program
- Advise investment teams on relevant compliance policies and procedures
- Conduct compliance training for firm employees, draft and update compliance policies and procedures, assist with compliance testing and respond to regulatory examination requests
- Assist with the firm’s Code of Ethics oversight
- Review and approve request related to outside business activities, personal investing and trading, political contributions and gifts and entertainment
- Assist with the preparation of regulatory filings including but not limited to Form ADV, Form PF, 13F, 13H, etc.
- Assist with preparing and drafting the annual 206(4)-7 report
- Prepare compliance training materials and conduct new hire compliance training
- Review and approve marketing materials, advise on conflicts of interest and respond to investor DDQs
- Monitor and approve expert networks and expert network communications
- Perform ad hoc compliance project and training as required
Requirements:
- Bachelor’s Degree
- JD required, but Bar admission not required
- 4+ years of alternative investment industry compliance experience
- Deep knowledge of the Investment Advisers Act and Investment Company Act
- Strong knowledge of alternative investment asset classes such as private credit, insurance, real estate and private equity
- Advanced project management and compliance training skills
- Excellent communication, interpersonal and business writing skills
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