Vice President of Investment Compliance (New Haven)

Vice President of Investment Compliance

About the Company

Accomplished investment management firm

Industry

Financial Services

Type

Privately Held

About the Role

The Company is seeking a Vice President for Investment Compliance to join its dynamic team. The successful candidate will be responsible for monitoring and ensuring adherence to a wide range of client guidelines, internal parameters, and statutory requirements across various investment products. This includes private funds, separately managed accounts, and registered products. The role involves developing and maintaining close working relationships with Portfolio Managers and Traders, providing expert advice on compliance with investment and trading laws, and coordinating on ESG matters. The Vice President will also be involved in the implementation and refinement of monitoring measures, as well as drafting and editing written policies and procedures to align with business and regulatory changes.

Applicants must have a Bachelors degree and at least 7 years of related experience, with a preference for those holding a CFA, CAIA, or FRM designation. A strong knowledge of equity and derivative instruments, as well as alternative investment strategies, is essential. The role requires a thorough understanding of financial markets and applicable laws, rules, and regulations, as well as advanced knowledge of guideline monitoring and surveillance software. The ideal candidate will be intelligent, energetic, and goal-oriented, with excellent communication skills and the ability to work effectively in a collaborative environment. A self-starter with a detail-oriented and well-organized approach, and the ability to manage multiple tasks and meet deadlines, is highly valued.

Travel Percent

Less than 10%

Functions

• Finance