A leading investment platform offering private equity, credit, and insurance solutions is looking to bring on an Assistant Vice President of Compliance to their team. This firm manages over $20 billion in assets, and is committed to helping clients achieve financial goals while making a lasting impact on communities.
Position Overview:
The AVP Compliance will support the compliance programs for investment advisers and business development companies (BDCs). The role involves ensuring regulatory compliance, preparing filings, advising teams, and assisting with testing, training, and reporting.
Key Responsibilities:
- Maintain and update compliance programs and policies.
- Assist with regulatory filings (Form ADV, Form PF, etc.).
- Advise teams on compliance procedures and the Code of Ethics.
- Conduct compliance testing and support regulatory examinations.
- Review and approve marketing materials and expert network calls.
- Prepare and deliver compliance training.
Qualifications:
- Bachelors Degree required, JD preferred
- 3+ years of relevant compliance experience
- Familiarity with the Investment Advisers Act and Investment Company Act
- Strong organizational, communication, and project management skills
- Ability to work independently in a fast-paced environment
