Role Overview:
Our client, a specialist asset manager with $7+ billion in assets under management, is seeking a Vice President of Compliance to drive the regulatory compliance function for its registered and regulated investment vehicles. For the right candidate, this role has the potential to grow into a Chief Compliance Officer position.
Total Compensation: $300,000.00 – $400,000.00 (including bonus)
Location/Office Policy: Fairfield County, Connecticut
Responsibilities of the VP of Compliance include:
• Ensuring ongoing compliance with Federal Securities Laws, including the 1940 Act, Securities Exchange Act of 1934, Securities Act of 1933, and Investment Advisers Act of 1940
• Developing, implementing, and managing compliance policies and procedures
• Managing SEC regulatory filings, including Form 8-K and quarterly tender/repurchase offers
• Coordinating corporate governance matters for Regulated Funds, including preparing and reviewing materials for meetings of the boards of directors/trustees
• Managing compliance reviews for new products, new instruments, financing arrangements, marketing materials, and other similar matters
• Liaising with external counsel service providers (transfer agents, fund accountants, auditors)
• Collaborating with internal legal and investment adviser compliance teams
Qualifications of the VP of Compliance include:
• At least ten years of regulatory compliance experience, with a focus on registered investment companies and/or business development companies, including deep knowledge of the 1940 Act and other Federal Securities Laws
• Strong organizational skills and a keen attention to detail
• Ability to understand complex issues and to provide clear and concise explanations in written and verbal communications
• Ability to issue spots and work independently to develop solutions
• The ideal candidate is entrepreneurial, team-oriented, and able to work independently on daily tasks and execute longer-term projects, subject to the general oversight of the firm’s legal team
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.