Our client is seeking a highly knowledgeable and dependable Vice President of Compliance. This role offers an exciting opportunity to oversee and administer the day-to-day compliance function, manage the compliance program, and handle certain cyber, risk, and legal processes. The successful candidate will work closely with the Chief Compliance Officer (CCO), who holds overall compliance responsibilities for the firm and its affiliates.
What you'll do:
As the Vice President of Compliance, your role will be pivotal in maintaining the integrity of our client's operations. You will be responsible for executing the day-to-day compliance program, coordinating with various departments to ensure all aspects of the business adhere to regulatory guidelines. Your expertise in AML, client onboarding, securities offering restrictions, marketing rules, investor complaints handling will be crucial in this role. Additionally, you will be tasked with tracking emerging regulatory issues to keep the company ahead of any potential challenges.
• Execute the day-to-day compliance program including personal trading and employee compliance, advertising and marketing review, conflicts assessment process, regulatory reporting, and ad hoc compliance inquiries.
• Coordinate with the Director of Operations to oversee all Cyber and technology risks.
• Support Human Resources process and controls.
• Advise on all Finance related regulatory issues.
• Conduct and oversee annual vendor assessments.
• Provide advice and support related to AML and client onboarding, securities offering restrictions and controls, marketing and advertising rules, investor complaints, and other sales related issues.
• Ensure the compliance program remains compliant with state, federal and related regulatory guidelines.
• Implement compliance training for firm employees.
• Review marketing materials and other communications to ensure compliance with applicable regulations.
• Track emerging regulatory issues.
What you bring:
The ideal candidate for the Vice President of Compliance role brings a wealth of experience in financial services regulation. With a strong understanding of RIA and securities offering rules as well as Blue Sky rules, you are well-versed in navigating complex regulatory landscapes. Your broad knowledge across various asset classes coupled with your working knowledge of IC rules and exemptions sets you apart. Your excellent communication skills enable you to effectively liaise between different stakeholders while your strong analytical skills allow you to make informed decisions. Your ability to learn new regulatory schemes will be a valuable asset in this role.
• Strong knowledge of RIA and securities offering rules.
• Knowledge of Blue Sky rules.
• Broad knowledge of various asset classes including PE, PC, RE and Infrastructure.
• Working knowledge of IC rules and exemptions.
• Working knowledge of ERISA rules and exemptions.
• Successful experience interacting with SEC.
• 5 to 7 years as a compliance professional supporting a Private Fund.
• Strong analytical skills.
• Excellent communication skills (written and verbal).
• Ability to learn new regulatory schemes.
What sets this company apart:
Our client is a leading impact investment firm placing private debt and equity in operating companies, real estate, and infrastructure projects throughout the United States. They focus on Opportunity Zones and targeted inner cities and rural areas, aiming to achieve economic, social, and environmental impact in regions suffering from below-average employment and income levels.
