Core Compliance – Vice President

Our client is in search of a Vice President for their Core Compliance team. This role presents an enticing opportunity to be an integral part of a team tasked with the design, implementation, monitoring, and testing of the company's control environment. The successful candidate will have the privilege of working in a highly intellectual, collaborative environment where technology excellence fuels insights and analysis.

What you'll do:
As the Vice President of Core Compliance, you will be instrumental in ensuring that the firm operates within all relevant regulatory and industry rules and regulations. Your daily responsibilities will encompass assisting with the administration of the firm's Business Conduct Manual and Code of Ethics, responding to employee requests on various topics, handling regulatory filings, maintaining compliance department records, developing compliance training and policies, and drafting responses to client reporting items. Your exceptional attention to detail will be pivotal in this role as you ensure that all procedures are adhered to correctly.
• Assist with the administration of the Firm’s Business Conduct Manual and Code of Ethics
• Respond to employee requests regarding personal trading, gifts and entertainment, political and charitable contributions
• Handle various regulatory, registration and other filings
• Assist with the maintenance, tracking and organization of Compliance Department records
• Develop, update and administer Compliance training and policies
• Draft responses to client reporting items, including RFPs, DDQs and other ad hoc reporting

What you bring:
The ideal candidate for the Vice President of Core Compliance position is someone who brings a wealth of compliance experience along with strong interpersonal skills. You should have at least 7 years of experience in compliance roles. A Bachelor's degree is required for this position. Your strong communication skills will be essential as you interact with various stakeholders within the firm. Additionally, your excellent responsiveness and attention to detail will enable you to excel in this role. Familiarity with StarCompliance would be beneficial but is not a requirement.
• Bachelor’s degree
• Minimum of 7 years of compliance experience
• Strong interpersonal, communication and writing skills
• Excellent responsiveness and attention to detail
• Familiarity with StarCompliance is a plus but not required