Vice President of Compliance for Investment Funds

Vice President of Compliance for Investment FundsAbout the Company A leading investment management firm committed to excellence. Industry Financial Services Type Privately HeldAbout the Role We are seeking a dynamic Vice President of Compliance who specializes in registered funds and 40 Act products. This key leadership position will oversee various compliance processes, including SEC exemptive relief, and play an essential role in preparing and managing board and committee materials. You will support governance requirements for registered entities and collaborate on the development of innovative technology and workflow solutions for our registered funds platform. Maintaining regulatory filing calendars is also a critical part of this role. The ideal candidate will possess extensive knowledge of U.S. securities regulation, particularly the Investment Company Act, Investment Advisers Act, and SEC regulatory expectations. With a minimum of 7 years of experience in investment company or investment adviser compliance, you should have a proven track record in managing compliance testing, monitoring, and reporting. We seek a professional who understands regulatory examinations and enforcement themes, can effectively manage stakeholders, and boasts excellent communication skills. You will demonstrate high integrity and strong judgment while being proficient in Excel, PowerPoint, and analytical tools. A keen ability to maintain and organize legal and fund compliance documentation, as well as update policies and procedures for registered funds, is crucial. We need someone who is highly organized, adept at managing multiple priorities, and is eager to play a key role in our regulatory exam preparation and ongoing regulatory updates. Join us in enhancing compliance standards within our esteemed firm! Travel Percent Less than 10% Functions Legal

Created: 2026-03-10