Vice President of Compliance
A global investment management firm is seeking a Vice President of Compliance to support its expanding platform of public investment vehicles and registered funds. This role is ideal for a seasoned compliance professional with deep experience in U.S. securities regulation and oversight of '40 Act products. This role will require 4 days a week in the Boston office.
Key Responsibilities
- Oversee processes related to SEC exemptive relief, including controls, documentation, and investment allocation monitoring
- Prepare and manage board and committee materials, including minutes and regulatory reporting
- Support governance requirements for registered entities
- Collaborate on building technology and workflow solutions for the registered funds platform
- Maintain regulatory filing calendars; assist with Form 3/4 and related submissions
- Coordinate compliance testing and monitoring under Rule 38(a)-1
- Review adviser and service provider reporting
- Draft quarterly and annual compliance reporting for fund boards
- Assist with documentation and monitoring of affiliated transactions
- Support regulatory exam preparation and ongoing regulatory updates
- Maintain and organize legal and fund compliance documentation
- Update and maintain policies and procedures for registered funds
Qualifications
- 7+ years of experience in investment company or investment adviser compliance
- Strong knowledge of the Investment Company Act, Investment Advisers Act, and SEC regulatory expectations
- Experience with regulatory examinations and enforcement themes
- Excellent stakeholder management and communication skills
- High integrity, strong judgment, and ability to operate independently
- Highly organized with the ability to manage multiple priorities
- Proficiency with Excel, PowerPoint, and analytical tools
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