An Investment Management Company is looking for a Corporate Vice President to report directly to the Chief Compliance Officer.
- Help develop, monitor, and maintain effective compliance policies and procedures
- Assess and test the company's compliance with various polices such as AML, Personal Political Contributions, Personal Trading, Outside Business Activities, and Gifts and Entertainment
- Help coordinate and prepare reporting packages for Compliance, Brokerage, and other Committee meetings.
- Help in the preparation of regulatory filings (ADV, Form PF, Section 13, Form D)
- Help coordinate responses to internal audits, SOC-1 audits, and other audits/exams
- Help surveil trading activity and any electronic communication
- Keep track of changes in applicable domestic and foreign regulations
- Interact with personnel at all levels of the company's units
- 5-8 Years in investment management industry with a focus on investment advisory compliance and reg matters at a similar institution
- Knowledge of security laws such as Investment Advisors Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and other SEC/FINRA regulations
- Working knowledge of European regulations such as MiFID, AIFMD, and EMIR are a plus
- Experience in managing regulatory dialogues, coordinating regulatory examinations, and responding to regulatory inquiries.
Bachelor's degree: J.D. or master's degree is a plus