A global alternative investments firm seeks a Compliance Associate Vice President.
The ideal candidate will serve a key role in the administration and monitoring of the firm’s global Code of Ethics and Code of Conduct compliance program. The Associate Vice President will actively participate in testing and review of the firm’s global regulatory policies and procedures to maintain effective controls and monitoring systems necessary to support Rule 206(4)-7 and Rule 38(a)-1 assessment programs.
Candidate must possess a strong working knowledge of the regulatory requirements of the Investment
Advisers Act and the Investment Company Act.
PRIMARY FUNCTIONS AND ESSENTIAL RESPONSIBILITIES
Plays a key role, along with other team members, in administering the firm’s Global Code of Conduct program including policies governing employees’ personal trading, gifts and entertainment, outside business activity and political contributions policies. In addition, the Associate Vice President will:
· Participate in the global testing program;
· Act as one of the primary contacts for responding to policy and procedural questions;
· Conduct in-person and remote training to help on-board new employees as well as on specific subject matters;
· Supervise certain tasks performed by our third party compliance support providers;
· Manage, coach and develop personnel that assist with any of the above listed duties or processes;
· Stay current on requirements, industry best practices, and other relevant industry guidance; and
· Work on ad hoc Compliance Department projects, assignments and initiatives either as an individual contributor or with other Compliance team members as needed
Education: Bachelor’s degree, M.B.A, C.P.A, or J.D. considered a plus
Experience Required: Minimum 5-7 years of relevant experience
Knowledge of investment adviser and investment company rules, regulations and best practices; Experience managing compliance functions and people; Ability to manage challenging workflow in a fast-paced, dynamic organization; Excellent organizational and analytical skills; ability to manage competing priorities and impeccable attention to detail.
Please email resumes to Jack Kelly at Jack@ComplianceSearch.com