About the role
Role- Vice President – Compliance | Alternative Asset Management
Location- NYC
Hybrid Office Policy- 4/1
Comp 250-400k total comp
Join a next-generation multi-asset investment platform and play a key role in building and enhancing a best-in-class compliance program.
About the Firm
A rapidly growing, integrated multi-asset investment platform is seeking a Compliance Senior Associate / Vice President to support its global compliance function.
Responsibilities
- Compliance Program Management : Maintain and enhance the investment adviser compliance program, including drafting and updating policies, conducting testing, and supporting regulatory readiness
- Regulatory Filings : Assist in preparing and reviewing filings such as Form ADV, Form PF, 13F, 13H , and other required disclosures
- Policy Advisory : Provide day-to-day compliance guidance to investment teams and business partners on regulatory requirements and internal policies
- Code of Ethics Oversight : Review and approve employee requests related to personal trading, outside business activities, private investments, gifts and entertainment, and political contributions
- Compliance Monitoring & Testing : Support testing across key areas including investment allocations, expenses, valuation, and adherence to investment guidelines
- Conflicts Management : Identify, monitor, and advise on potential conflicts of interest across the platform
- Marketing & Investor Compliance : Review marketing materials and support responses to investor due diligence questionnaires
- Training & Education : Develop and deliver compliance training programs for new hires and ongoing employee education
- Regulatory Examinations : Assist in preparation for and response to regulatory inquiries and examinations
- Reporting : Prepare quarterly and annual compliance reports, including contributions to the annual compliance review
Qualifications:
- 5–10 years of compliance experience within alternative asset management
- Strong knowledge of the Investment Advisers Act and Investment Company Act
- Experience across Private Equity, Credit, or Insurance strategies preferred
- JD required
- Strong communication, organization, and project management skills
ID 48460
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