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VP of Compliance

$300,000- $400,000
Posted Jul 02
Full Time
Greenwich, Connecticut

Overview:

  • Specialist asset manager focused on credit investments - AUM around $9B
  • Approximately 75 employees - excellent culture and ability to grow with the firm
  • Looking to hire the head of Public Funds compliance with pathway to CCO title

Responsibilities:

  • Drive the regulatory compliance function for all matters relating to the registered and regulated investment vehicles managed by the firm (including closed-end funds, interval funds and business development companies), with a focus on the Investment Company Act of 1940
  • Manage regulatory filings, including ad hoc filings and regular periodic SEC filings (such as Form 8-K and quarterly tender/repurchase offers)
  • Coordinate corporate governance matters for the Regulated Funds, including preparing and reviewing materials for meetings of the boards of directors/trustees

Qualifications:

  • 5th or 6th year big-law associate from Investment Management, Public Funds, Mutual Funds group

Comp: $300-400k total compensation

#37097