Vice President, Transactional Compliance

Vice President, Transactional Compliance

About the Company

Prominent financial services firm specializing in investment management, research & trading services

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 transaction-related non-disclosure agreements, and contributing to various compliance initiatives. The Vice President will work closely with business partners and senior stakeholders to ensure regulatory alignment and will be expected to have a strong understanding of financial products and institutional operations. Applicants for the Vice President of Compliance position at the company must have a Juris Doctor (JD) degree and a minimum of 5 years' 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, institutional operations, and U.S. regulatory and compliance concepts, particularly in the management of confidential information. The ideal candidate will have strong communication skills, the ability to work with senior professionals, and a collaborative, ethical approach to their work. Responsibilities also include tracking regulatory and industry developments, assisting with internal guidance or policy updates, and providing support across core compliance functions.

Travel Percent
Less than 10%

Functions

• Legal