Location: Midtown Manhattan
Compensation: $200k-$250k base + bonus
Our client, a $7 billion+ AUM real estate private equity firm is seeking a Vice President, Compliance to join their Legal and Compliance team.
Responsibilities will include:
- Review marketing materials for compliance purposes
- Review client communications and sales materials
- Drafting and maintaining compliance policies and procedures, including, Code of Ethics and Compliance Manual
- Performing reviews and testing of compliance policies and procedures, including the preparation of reports
- Assist in the preparation and filing of all SEC reporting, including Forms ADV, PF and Schedules 13D, F, G and H, CFTC, as necessary
- Review key fund documents related to investment vehicle formation
- Review side letters to ensure investor requests are in alignment with firm controls and standards
- Prepare placement agreements with distributors
- Research and synthetize advice for sales professionals relating to cross border activities and when engaging with US (state, county and municipal) employees
- Prepare memoranda related to significant issues, including the management of MNPI and trade/investment allocations
- Assist in the review of Code of Ethics reporting, including personal securities transactions, political contributions, gifts and entertainment, etc. via the Compliance Alpha tool
- Work with CCO and Director of IT on joint Compliance/IT initiatives.
- Coordinate the Firm s response to regulatory and/or mock examinations, including document production, response to inquiries and interviews
- Assist with implementation of the Vendor Risk Management program
- Review and update training plan and training materials & Provide initial and annual training to employees
Qualified candidate must have:
- Experience reviewing marketing materials
- Bachelor's degree, JD is helpful but not required
- 7+years of prior compliance experience within asset management industry is required; PE Real Estate experience a plus
- Excellent written and verbal communication skills
- Ability to work effectively independently as well as in a team setting
- Strong attention to detail
- Ability to lead projects and initiatives