Compensation: $120,000-$175,000 + bonus
Location: Short Hills, NJ
Publicly traded alternative asset manager is seeking an Investment Management Compliance VP to join the team. The Vice President of Investment Management Compliance will be a member of the Investment Compliance team which is responsible for daily monitoring of investment compliance requirements in partnership with other control functions and the broader Compliance team. The individual is expected to liaise closely with individuals and teams across various business units and build strong working relationships.
Highlights About the Company & Position:
- Administer and maintain the firm’s Restricted Lists and associated procedures.
- Daily review of regulatory/general conflicts related matters pertaining to investments made under the Investment Company Act/Advisers Act and/or SEC exemptive reliefs.
- Review and onboard expert network requests; escalation to senior Compliance team members as needed.
- Work with the broader Investments Compliance team to workflow and make recommendations on ways to increase efficiency while maintaining internal controls.
- Actively seek tools and technology to improve current operations.
- Assist in developing and implementing the firm’s policies and procedures.
- Liaise with the Investment Compliance team’s key client groups (trading, portfolio management etc).
- Review marketing and related materials, including case studies and educational materials.
- Assist in preparing and conducting internal compliance training/education sessions including facilitating cross-training within the team.
- Assist in preparing periodic compliance reporting for senior management.
- General compliance tasks as needed including working with the compliance team members specializing in other functional areas.
- Bachelor’s degree or higher.
- Must have at least 5 years of work experience in investment management, financial services, or industry-related compliance experience.
- Working knowledge of Investment Company Act (preferably BDC regulations) and advisory functions is required as is significant prior exposure to investment compliance and its related rules and regulations in a compliance-related function.
- Ability to effectively drive solutions throughout the firm and present ideas in an effective, consensus-driven manner.
- Ability to develop and foster strong interpersonal relationships and maintain effective cross-functional business relationships throughout the firm.
- Ability to work effectively with outside parties at all organizational levels
Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.