Vice President Compliance
cardea groupWhite Plains, NY
$225-250k
APPLY (opens in a new tab)Vice President Compliance
cardea groupWhite Plains, NYSenior L5
$225-250k
Miscellaneous Financial Investment ActivitiesPortfolio Management and Investment AdviceInvestment Banking and Securities Intermediation
APPLY NOW (opens in a new tab)Vice President, Compliance (New York, NY): A leading global alternative investment firm is seeking a Vice President of Compliance to join its Legal and Compliance team in a newly created capacity to work closely with the CCO. This individual will serve as a key member of the compliance team, providing broad support across the firm's US and international compliance obligations. The ideal candidate will bring strong investment management compliance experience, sound judgment, and the ability to operate independently while partnering closely with the CCO and investment professionals. Key PointsJoin an established global investment platform with over $40B in AUM.Broad exposure across private equity, private credit, and global regulatory compliance. Opportunity to take ownership of day-to-day compliance responsibilities and contribute to the continued development of the firm's compliance program. Work closely with investment and functional teams across the organization. Opportunity to identify and implement AI-driven solutions to improve compliance processes.
Responsibilities:
Support the CCO in managing the day-to-day administration of the firm's compliance program.
Serve as a generalist across compliance functions, including the annual compliance review, policy development and maintenance, surveillance, employee training, and violation tracking and remediation.
Monitor regulatory developments and assess the impact of new requirements on the firm's policies and procedures.
Partner with investment and functional teams to address compliance matters and support business initiatives.
Prepare and respond to investor due diligence requests, including annual and ad hoc inquiries.
Review marketing materials for compliance with the SEC Marketing Rule and other applicable requirements.
Oversee regulatory filings, including Form ADV, Form PF, 13D/G, 13F, 13H, CFTC exemptions, AIFMD/Annex IV, and other applicable filings.
Assist with management of the firm's restricted list, including identifying potential material nonpublic information (MNPI) concerns and recommending appropriate actions.
Support regulatory examinations and information requests.
Identify opportunities to leverage AI and technology to improve the efficiency of the compliance program.
Qualifications:
Approximately 7–9 years of compliance experience within an in-house investment management environment.
Experience with an SEC-registered investment adviser – specifically a private equity and/or private credit fund required.
Strong working knowledge of the Investment Advisers Act and related regulatory requirements.
Ability to independently manage day-to-day compliance matters, exercise sound judgment, and identify issues requiring escalation.
Experience working with investment professionals and supporting a broad range of compliance functions.
Prior experience with SEC examinations is a plus.
Confident, proactive, and comfortable operating independently.
Intellectually curious, with a genuine interest in the investment management industry and evolving regulatory requirements.
Strong communicator who can build trust across the organization and engage effectively with senior professionals.
Compensation: $225-250k base; $325-350k all-inJob Reference #3709294
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Level
Senior L5
Salary
$225-250k
Location
White Plains, NY
Occupation
Compliance Managers
Industry
Miscellaneous Financial Investment Activities
Posted
today