Compliance VP – Private Funds
Location Santa Monica
Consultant Henry Smith
Date posted June 25, 20187 Times Square New York NY 10036 Robert Walters United States of America
Industry leading Institutional Investment Management firm requires a Compliance VP to cover Private Funds compliance in a very autonomous position. Global Firm, great culture, huge career progression opportunities.
Industry leading Institutional Investment Management firm requires a Compliance VP to cover Private Funds compliance in a very autonomous position. The role will involve providing advice and guidance to the business in order to satisfy all external regulatory obligations and client contractual requirements.
A solid understanding of the regulatory environment governing Investment Management and Private Funds is required and prior experience with NFA and CFTC is also a necessity.
With significant changes to regulations affecting the financial services industry, the individual must be able to run workstreams critical to the firm’s overall compliance profile.
Duties will entail -
- To consider the implications of client contractual, legislative and regulatory requirements on the operations of the private funds business
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
- Management of the NFA & CFTC regulatory compliance reporting and oversight
- Point of contact for all regulatory inquiries, prepare regulatory filings when necessary and handle all regulatory audits and exams
- Assess the impact of legislative changes to the investment management sector, and ensure the business units are fully informed
- Main point of contact for both the business as well as for external clients with respect to compliance matters
- Continuous oversight compliance training and education throughout the business.
Suitable candidates will possess -
- 5 years relevant experience in investment management compliance or legal positions, ideally with a focus on private funds
- JD is strongly preferred
- Excellent regulatory knowledge, specifically related to Investment Advisers Act of 1940, as well as NFA and CFTC regulations
- Excellent written and verbal communication skills
- Ability to work in a team environment and deal with stakeholders at all levels of seniority