Vice President Of Compliance

Vice President of Compliance About the Company Expanding SEC-registered investment advisory firm

Industry
Investment Management

Type
Privately Held








About the Role The Company is in search of a Vice President of Compliance to join their Legal, Compliance, and Risk Department. The successful candidate will be responsible for providing expert guidance to senior executives, preparing and filing regulatory documents related to investment advisory services, and developing and overseeing the firm's compliance program. This role also involves assessing business, legal, and compliance issues, as well as supervising valuation information to ensure accuracy and compliance. A key requirement is a minimum of 3 years of experience in investment advisory compliance, with a preference for those with SEC or similar financial regulatory experience.

Applicants for the Vice President of Compliance position at the company must have a Bachelor's degree or equivalent professional experience. Familiarity with compliance software such as Addepar and Salesforce is strongly preferred. The role demands a candidate who is adept at handling both qualitative and quantitative compliance matters and who can effectively supervise and ensure the accuracy of valuation information. The company is committed to a diverse and inclusive work environment and does not discriminate based on age, gender, race, sexual orientation, gender identity, national origin, veteran or disability status, or any other protected class. The focus is on evaluating the skills and abilities that meet the job requirements and providing equal opportunities for all.




Travel Percent
Less than 10%

Functions Finance