Vice President Compliance
📋 Role Overview & Responsibilities
The Role
Reporting to the Chief Compliance Officer (CCO). The role is designed to assist in all matters related to compliance with both US and non-US regulations and Registered Investment Advisory business. Candidate will help administer and enhance our compliance program, including compliance with code of ethics, marketing reviews, Electronic Communication reviews, registered representative oversight, and forensic testing. The candidate should have practical judgment and ability to properly identify and escalate regulatory and compliance issues.
What You will do
- Track and review marketing materials for compliance with the Advisers Act and UCITS requirements (includes fund factsheets, pitchbooks, press releases, KIIDS, PRIIPS, etc.)· Code of Ethics compliance, including ongoing monitoring and approval of political contributions, social media accounts, outside business activities, personal trading (and reconciling data across two systems for Registered Representatives)· Review AML/KYC requests from brokers· Assist with oversight of Registered Representatives, including U4 reviews, state rosters, review and reporting of gifts/entertainment· Ongoing oversight of service providers, including sub-advisers, fund administrator, distributor and custodian· Manage and update compliance calendar and risk assessment matrix to reflect regulatory and internal requirements· Contribute to the design and monitoring of compliance forensic testing program· Assist with incoming DDQs as well as checklists for Trust CCO and UCITS Management Company
Frequently Asked Questions
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This position is located in New York City Metropolitan Area with potential relocation and sponsorship assistance depending on candidate qualifications.
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