VP Investment Management Compliance (MNPI)- $45 Billion Alternative Asset Manager
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Role & Company Overview
📋 Role Overview & Responsibilities
$45 Billion Growing Alternative Asset Manager Seeks a VP, Investment Compliance
- Reporting to the Managing Director
- Responsible for Daily Monitoring of Investment Compliance Requirements
- Administration of Firm’s Restricted Lists
- Responsible for Review of Regulatory Conflicts Pertaining to Investments Made Under Investment Company Act/Advisers Act
- Improve Internal Controls & Compliance Policies & Procedures
- Work Closely with Trading & Portfolio Management
- Review Marketing Materials
- Assist in Preparing and Conducting Internal Compliance Training
- Compliance Reporting to Senior Management
- Assist in Preparing for and Responding to any Regulatory Inquiries or Examinations
Qualifications*10+ years Investment Compliance Work Experience at Another Asset Manager
- Strong Knowledge of Investment Company Act (Preferably BDC Regulations)
- Strong Experience with MNPI (material non-public information) & Investment Restriction Checks
Base Salary 225k+Bonus. 450k all in. Phenomenal Opportunity for Growth at this Growing Asset Manager. Excellent Benefits. Hybrid Schedule-Ideal Candidates Should be able to be in NYC and NJ Office.
Frequently Asked Questions
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This position is located in Summit, NJ with potential relocation and sponsorship assistance depending on candidate qualifications.
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