Senior Vice President of Compliance

Senior Vice President of Compliance

About the Company

Public-markets asset management firm ensuring regulatory excellence and compliance leadership in a hybrid environment.

Industry
Investment Management

Type
Privately Held

About the Role

The Company is seeking a Senior Vice President of Compliance to drive and lead compliance efforts, ensuring regulatory excellence and adherence to SEC regulations and industry standards. The successful candidate will be responsible for designing and implementing compliance programs, policies, and procedures that are tailored to the firm's operational needs. This role involves close collaboration with investment and management teams to support regulatory and operational compliance requirements, overseeing regulatory filings, and conducting compliance training to foster a culture of compliance. Additionally, the SVP will support governance and disclosure controls for AI/ML-driven investment strategies, coordinate with external counsel, and prepare for regulatory examinations and audits. Applicants must have a Bachelor’s degree, with a JD or advanced degree preferred, and at least 10 years of compliance experience at an SEC-registered investment adviser focused on public markets. A strong knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements is essential, as is experience in building and enhancing compliance programs in early-stage environments. Proficiency with compliance surveillance tools and exposure to AI/ML governance or compliance for technology-driven investment strategies is also preferred. The role requires excellent communication, organizational, and analytical skills, as well as the ability to work independently and collaborate effectively with teams at all levels.

Travel Percent
Less than 10%

Functions

• Legal