Job Overview – VP of Compliance:
Step into a pivotal leadership role with our client in Greenwich, CT, as the VP of Compliance. This full-time role oversees compliance for investment accounts, including private funds and managed accounts, while driving the firm’s compliance strategy.
Total Compensation: $300,000 – $350,000/year
Location: Greenwich, CT
Schedule: Monday to Friday (In-Office)
Responsibilities as the VP of Compliance:
- Compliance: Support and manage the regulatory compliance program for private funds, separately managed accounts, and other investment vehicles.
- Policy Implementation: Ensure the adoption and management of policies, procedures, and controls to comply with regulatory requirements under the Investment Adviser Act and Investment Company Act.
- Regulatory Filings: Manage and coordinate SEC filings such as Form PF, Form ADV, and other regulatory documents.
- Compliance: Conduct ongoing testing of policies, procedures, and participate in the annual compliance review process.
- Coordination: Work closely with service providers, fund accountants, auditors, and internal teams to ensure compliance across operations.
Qualifications for the VP of Compliance:
- Education: Bachelor’s degree required, preferably in Finance, Law, Business, or related field (advanced degree preferred).
- Experience: 7-10 years of Regulatory Compliance experience with a focus on investment advisors and the Investment Company Act.
- Knowledge: Deep understanding of the Investment Adviser Act of 1940, Investment Company Act of 1940, and other Federal Securities Laws.
- Skills: Strong organizational skills, attention to detail, and the ability to provide clear written and verbal explanations on complex issues.
- Competencies: Proactive, team-oriented, and able to work independently while managing long-term projects.
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.