Job Overview – Vice President, Compliance:
Our client is actively seeking an experienced Vice President of Compliance to join their legal and compliance team in New York City. This pivotal role involves overseeing compliance functions, ensuring adherence to regulatory requirements, developing and implementing compliance policies, and managing compliance audits and risk assessments.
Location: New York, NY (Hybrid)
Compensation: $200,000 – $250,000/year + bonus
Schedule: 9:00 AM to 5:00 PM, Monday to Friday
Responsibilities as the Vice President, Compliance:
- Compliance Oversight: Lead compliance reviews for marketing, sales, and client communications.
- Regulatory Management: Ensure compliance with SEC and CFTC filings.
- Policy and Document Review: Oversee compliance policy creation/adherence and ensure fund documents align with firm standards.
- Advisory Support: Provide guidance on cross-border activities, trade allocations, and manage MNPI.
- Monitoring and Reporting: Conduct compliance monitoring/testing and manage Code of Ethics reporting.
- Collaboration and Examination: Collaborate on compliance initiatives, manage regulatory examinations, and participate in key committees.
Qualifications for the Vice President, Compliance:
- Education: College degree required; JD is preferred.
- Experience: Minimum of 7 years of compliance experience within the asset management industry, with a preference for private equity real estate experience.
- Skills: Excellent written and verbal communication skills, strong attention to detail, effective project leadership, and ability to work independently and in a team setting.
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.