Our client, an expanding SEC-registered investment advisory firm, is seeking a mid-level compliance or legal expert to join their growing Legal, Compliance, and Risk Department. They have around $20 billion in assets under management and a substantial national footprint.
Vice President, Compliance Benefits $160,000 - $180,000
Performance-based bonus
Comprehensive benefits package
100% company-paid health insurance
Vice President, Compliance Responsibilities Offer expert guidance to senior executives
Prepare and file regulatory documents related to investment advisory services in compliance with applicable regulations
Develop and oversee the firm's compliance program
Assess both qualitative and quantitative business, legal, and compliance issues
Supervise valuation information to ensure compliance and accuracy
Vice President, Compliance Requirements Bachelor's degree or equivalent professional experience
Minimum of 3 years in investment advisory compliance, with a preference for those with SEC or similar financial regulatory experience
Familiarity with Addepar and Salesforce is strongly preferred
At Goodwin Recruiting we are committed to our core values. We take our value, Dedicated to Diversity & Inclusion, very seriously and will never discriminate against a candidate or client based on any protected classes. Our clients seek qualified candidates, and that is what we deliver. A person's age, gender, race, sexual orientation, gender identity, national origin, veteran or disability status, or arrest or conviction record has no bearing on whether he, she, or they are able to do the job. We evaluate the knowledge, skills, and abilities that meet the requirements of the position and aim to open doors and change lives. We value all people, understanding that uniqueness and diversity foster a stronger team that is innovative and brings varying perspectives to the table. We put our money where our mouth is and are proud of our efforts to identify a broad slate of candidates, with many hiring success stories to share.
JOB ID : 143376
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