Left Right

Job: VP Compliance – Private Credit / Alternative Investment Management

Title VP Compliance – Private Credit / Alternative Investment Management
Categories Alternative Asset Management, Compliance, Private Credit, Regulatory Compliance
Location Los Angeles, CA
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
Apply Now