Vice President of Compliance

  • Location: New York, NY
  • Type: Perm (Contingency)
  • Job #35101
  • Salary: $150,000

Job Overview – Vice President of Compliance :
We are seeking a Vice President of Compliance  to join our client's esteemed team, with a direct reporting line to the Chief Compliance Officer. In this pivotal position, you will play a crucial role in elevating and sustaining compliance framework, with a primary focus on securing adherence to regulatory standards and nurturing a corporate ethos founded on ethical principles.

This opportunity beckons you to become part of a distinguished global asset management organization, boasting a substantial portfolio of assets under management (AUM) exceeding $12 billion, and headquartered in the heart of midtown New York City.

Compensation: $150,000.00 – $160,000.00 + bonus
Location: New York City

Responsibilities as the Vice President of Compliance  include:

  • Maintaining the firm's compliance program and compliance calendars
  • Assisting with regulatory filings, both domestic and international, in accordance with the U.S. Investment Advisers Act of 1940
  • Conducting periodic testing of compliance policies
  • Managing compliance logs, including gift/entertainment and trade error logs
  • Monitoring the firm's code of ethics and facilitating compliance-related committee meetings
  • Preparing compliance reports and coordinating security filings
  • Participating in quarterly collections and reviews of employee trading compliance
  • Supporting the organization of periodic training sessions for employees
  • Assisting with annual compliance reviews
  • Collaborating on the design of new compliance initiatives to adapt to evolving regulatory requirements

Qualifications of the Vice President of Compliance include:

  • 4-7 years of Investment Advisor generalist compliance experience, ideally in hedge funds, private equity, asset management, or compliance consulting
  • Strong knowledge of the U.S. Investment Advisers Act of 1940
  • Excellent organizational skills with meticulous attention to detail
  • Proficiency in domestic and international regulatory filings
  • Experience maintaining compliance logs and conducting periodic testing
  • Familiarity with code of ethics monitoring and compliance reporting
  • Effective communication and organizational abilities
  • Proactive and adaptable approach to navigating changing regulatory landscapes

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.

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Job ID: 35101