Vice President, Compliance

Vice President, Compliance

About the Company

Prominent financial services firm specializing in investment & trading solutions

Industry
Financial Services

Type
Privately Held

About the Role

The Company is in need of a Vice President of Compliance with a focus on transactional oversight, information-barrier management, and governance matters within a financial services environment. The successful candidate will be responsible for supporting the administration and maintenance of policies and procedures related to conflicts of interest and information management, monitoring transactional activity, and ensuring appropriate tracking and documentation. This role also involves conducting research to support materiality and confidentiality assessments, reviewing and executing non-disclosure agreements, and contributing to various compliance initiatives. The Vice President of Compliance will work closely with business partners and senior stakeholders to ensure regulatory alignment and will be expected to have a Juris Doctor (JD) degree, at least 5 years' of experience in compliance, legal, or regulatory roles within financial services, and a general understanding of financial products and institutional operations. Applicants for the Vice President of Compliance position at the company should have a JD degree and a minimum of 5 years' of experience in compliance, legal, or regulatory roles within financial services or a similar institutional environment. Experience in supporting transactional compliance processes and confidentiality protocols is preferred. The role requires a general understanding of financial products and institutional operations, as well as a working familiarity with U.S. regulatory and compliance concepts, particularly in the management of confidential information. Strong communication skills, the ability to work with senior professionals, and a high level of ethical standards are essential. The candidate should be adept at using internal systems and external research tools for compliance oversight and reporting, and be prepared to contribute to a range of compliance initiatives, including reviews, reporting obligations, and special projects.

Travel Percent
Less than 10%

Functions

• Finance
• Legal