Regulatory and Compliance, Investor Onboarding and Regulatory Review, Vice President

Location: New York, New York, United States; office-based Monday–Thursday with remote work available on Friday.

Salary: $155,000–$185,000 base salary per year, plus equity and an annual performance bonus.

Company

Financial services company supporting investments in private and registered funds.

What you will do

• Lead the Subscription Document Review team.
• Manage client engagements and relationships.
• Review, track, and maintain investor subscription materials, including subscription booklets, indexes, and related documentation.
• Create and maintain reporting that tracks investor subscriptions, deadlines, and transaction-related data.
• Maintain rules of engagement for fund sponsors and law firm fund formation departments.
• Communicate with investor relations teams and provide deficiency comments on subscription materials.

Requirements

• 8–15+ years of experience in alternatives, preferably with private funds and registered investment advisers.
• Experience with fund structuring and formation, including reviewing governing documents for alternative and registered funds.
• Experience reviewing investor governing documents, such as limited liability company agreements and trust agreements.
• Knowledge of the Investment Company Act of 1940 and the Securities Act of 1933.
• Excellent verbal communication, client-facing professionalism, self-motivation, and strong project management and process development skills.
• Ability to thrive in a fast-paced environment with a continuous learning mindset.

Nice to have

• AML/KYC knowledge related to private fund investors.
• Juris Doctor degree.

Culture & Benefits

• Hybrid work schedule with remote flexibility on Fridays.
• Equity for all full-time employees.
• Employer-matched retirement plan.
• Subsidized healthcare, employer-paid dental and vision coverage, telemedicine, and virtual mental health counseling.
• Parental leave and unlimited paid time off.