Vice President Compliance

VP, Compliance - Marketing (New York, NY): Our client, a prominent asset manager with more than $40B in AUM, is looking to hire an exceptional Vice President of Compliance with a focus on marketing material review. This leadership position involves overseeing investor and third-party communications while providing guidance on compliance issues related to domestic and global marketing, regulatory developments, and the resolution of regulatory inquiries. This remarkable opportunity allows to take on a key leadership role, working closely with senior management on complex regulatory challenges, and make a substantial impact at a successful firm.

Key Points:

• Fund has a proven history of consistently strong investment performance spanning numerous economic cycles.
• Current assets over $40B and steadily increasing, with capital also committed for extended periods.
• Newly created leadership opportunity with the ability to make a lasting impact on the firm and the team.
• The company is proud of hiring top talent and advancing employees from within.
• Firm is in the office 4 days/week and expects any applicant to work this schedule.

Responsibilities:

• Oversee compliance review of marketing materials and business communications, including due diligence responses, investor updates, and fundraising materials, from a regulatory perspective.
• Serve as the authority on regulatory guidelines for marketing and communications, including SEC, FINRA, and cross-border regulations.
• Evaluate marketing and distribution regulations, including new regulatory developments, to determine their commercial impact on the business.
• Develop and implement internal policies and procedures for marketing review activities in line with current regulatory guidance and related compliance matters.
• Offer expert guidance and training to business professionals on marketing and fundraising regulations and protocols.
• Support responses to regulatory exams, inquiries, internal audits, and targeted assessments.
• Work closely with the CCO to support various compliance functions and assist with ad hoc projects, as well as, the Finance Department with filings such as Form ADV and Form PF.

Qualifications:

• At least 8 years of industry experience, including expertise in compliance with relevant rules and regulations and review of marketing materials for private and registered funds.
• Skilled in SEC and FINRA rules and requirements, as well as industry best practices for public communications.
• Series 7 and Series 24 certifications are preferred (or willing to obtain).
• Thorough understanding of the investment adviser industry and U.S. securities laws, including the Investment Advisers Act and the Investment Company Act.
• Ideal candidate should currently be serving as a compliance officer and be experienced in working independently.

Compensation: $145-175K base; $175-245K all-in

Job Reference #1958