Compliance, Asset Management Compliance, Vice President, New York

Location: New York, NY, United States

Company

Global investment banking, securities, and investment management firm founded in 1869 and headquartered in New York.

What you will do

• Provide day-to-day compliance coverage and advisory support for the External Investing Group.
• Assess new business initiatives and coordinate with investment, operations, sales, and other stakeholders.
• Develop, draft, and maintain compliance policies and procedures.
• Conduct due diligence on prospective transactions, third-party managers, and private companies.
• Create compliance training programs and review marketing materials.
• Perform forensic testing, oversight, and surveillance, and support regulatory examinations, audits, and inquiries.

Requirements

• Bachelor’s degree, JD, or MBA.
• 5–8 years of experience in compliance, legal, regulatory, or financial services.
• Knowledge or strong interest in asset management, investing, operational processes, the Investment Advisers Act, and securities laws.
• Excellent communication skills.
• Ability to manage multiple tasks and work under pressure.

Culture & Benefits

• Independent compliance function focused on managing compliance, regulatory, and reputational risk.
• Training and development opportunities and firmwide professional networks.
• Benefits, wellness, personal finance offerings, and mindfulness programs.
• Commitment to diversity, inclusion, and reasonable accommodations during the recruiting process.