8 дней назад
Assistant Vice President, Funds Legal and Regulatory
120 000 - 165 000$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Assistant Vice President, Funds Legal and Regulatory (Fund Compliance): Supporting the legal and regulatory framework for registered and unregistered private wealth funds across U.S. and international markets with an accent on compliance policies, service-provider oversight, AML controls, and regulatory filings. Focus on testing compliance programs, monitoring trading activity against restrictions, reviewing marketing materials, and coordinating cross-functional responses to regulatory and client information requests.
Location: Place New York, 225 Liberty Street, Suite 3501, New York, New York
Salary: $120,000–$165,000 annually, plus a short-term cash incentive program.
Company
is a global alternative asset manager offering investment strategies across real estate, infrastructure, renewable power and transition, private equity, and credit, with a private wealth platform serving financial intermediaries.
What you will do
- Develop, implement, enhance, and monitor compliance policies and procedures for U.S. and internationally domiciled wealth vehicles.
- Oversee internal and third-party service providers supporting registered and unregistered funds.
- Screen sales intermediaries and oversee anti-money laundering controls at fund service providers.
- Conduct compliance reviews and testing, including monitoring trading activity against restricted lists, investment restrictions, and regulatory requirements.
- Review marketing materials and assist with regulatory filings for wealth vehicles.
- Prepare responses to client questionnaires, checklists, RFPs, and RFIs while collaborating with legal, compliance, operations, finance, distribution, and client service teams.
Requirements
- Bachelor’s degree or higher.
- 3–5 years of compliance or audit experience at an investment adviser, or equivalent paralegal experience in an asset management practice at a top-tier law firm.
- Relevant experience in asset management, capital markets, private equity, securities, or financial services.
- Ability to analyze regulatory and compliance program requirements, manage multiple priorities, meet competing deadlines, and maintain strong follow-through.
- Strong interpersonal, communication, organizational, client-orientation, and collaboration skills.
- Working knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related requirements is advantageous; AML compliance experience is beneficial.
Culture & Benefits
- Work in a collaborative, disciplined, and entrepreneurial environment.
- Gain exposure to diverse businesses and challenging assignments across the organization.
- Work with investment, distribution, finance, fund accounting, client service, operations, legal, and compliance professionals.
- Compensation includes base salary and a short-term cash bonus, with pay decisions considering geography, experience, education, and designations.
- Positive work environment committed to safety, respect, and equal opportunity.
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