Vice President of Compliance
A leading investment firm is seeking a Vice President of Compliance to support its growing 40 Act platform, which includes registered investment companies, business development companies (BDCs), and other public investment vehicles. This Boston-based role will focus on developing and maintaining compliance programs for public and private markets.
Key Responsibilities:
- Manage SEC relief processes, including controls, documentation, and investment allocation oversight
- Prepare and distribute board and committee materials and minutes
- Oversee regulatory filings and maintain filing calendars
- Coordinate compliance testing and monitoring programs
- Review service provider and advisor reporting
- Draft, update, and maintain compliance policies and procedures
- Support technology solutions for compliance processes
- Assist with affiliated transaction documentation and exam preparedness
Requirements:
- 8+ years of experience in investment company or advisory compliance
- Strong knowledge of U.S. securities laws (Investment Company Act, Advisers Act, Securities Act)
- Familiarity with regulatory frameworks, examinations, and enforcement priorities
- Ability to manage multiple projects in a dynamic environment
- Excellent judgment, integrity, and accountability
- Strong interpersonal and relationship-building skills
- Proficiency in Microsoft Excel, PowerPoint, and data analytics tools
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