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For your reference, we have included the original job posting below.
VP Compliance Alternative Investment Products
Job Number:
41585678
Company Name:
Confidential Company
Job Location:
New York, NY Us
Job Category:
Accounting & Finance
Salary:
Doe
VP Compliance Alternative Investment Products
Our client is a top-tier investment bank. The company seeks an Asset Management Alternative Investments Advisory Compliance Officer.
He/She will be involved in all aspects of compliance support for a sophisticated investment management business including hedge funds, hedge fund-of-funds, private equity, real estate and venture capital oriented towards institutional investors.
Responsibilities will include: • advising business management on regulatory and compliance requirements, educating them as to standards and best practices • responding to questions posed by the business regarding compliance topics (conflicts of interest, allocation policies, error and breaches, adequacy of disclosure, etc.), utilizing innovative thinking and sound judgment to develop solutions that meet regulatory and firm requirements • drafting and updating policies and procedures to implement business and compliance requirements • providing guidance and support to the compliance monitoring team overseeing the Alternatives activity • supporting various business initiatives, including risk assessments, outsourcing arrangements, new product launches, reorganizations and restructurings, etc. • tracking business initiatives and preparing fund reporting materials as necessary • supporting various department initiatives, as well as Global Compliance initiatives, that may include special projects, planning and conducting annual testing to support regulatory requirements, researching and responding to regulatory inquiries and examinations, writing policies and procedures, preparing and conducting compliance training presentations for business personnel and specialized training on new regulations or policies
Qualifications:
Advisory Compliance professional with a minimum of 5-8 years of relevant experience in the private fund space to provide compliance support to business units that create and manage private funds targeted to institutional investors.
Candidate must be familiar with the Investment Advisers Act of 1940 and the regulatory requirements applicable to private funds, including hedge funds, private equity funds, real estate funds, etc. Candidates should also have some understanding of non-US (global) local and regional regulatory requirements applicable to private funds. Knowledge of ERISA is a plus, but not a requirement.
Helpful experience would include: work in a regulatory, compliance or business capacity in an investment management firm focused on the private fund space, or at the SEC or other regulatory agency.
