Cardea Group
Vice President Compliance
Cardea Group, New York, New York, us, 10261
Our client, an asset manager with over $40B in AUM, is seeking an outstanding compliance professional. As part of a collaborative, supportive, and intelligent team, this new hire will report into the Chief Compliance Officer, providing comprehensive support for the compliance program in accordance with applicable laws and regulations. Offering a valuable opportunity to join a successful firm in a newly created role and gain exposure to all facets of a thriving business.Key Points:
Fund has an extensive track record of strong investment performance across multiple economic cyclesIndividual will play an integral part of the diverse and cohesive team, sitting in a visible role directly under the CCONewly created opportunity (our favorites!) with ability to make a lasting impact on the firm and the teamCurrent assets exceed $40B and continue to grow, with capital also locked up for an extended period of timeThe company is proud of hiring top talent and advancing employees from withinResponsibilities:
Support in enhancing the compliance program to address evolving regulatory requirements and changes in the business.Collaborate closely with the CCO to offer comprehensive support for the compliance program in line with applicable laws and regulations, with a particular emphasis on the Investment Advisers Act and the Investment Company Act.Assist with key compliance issues related to the 1940 Act, including but not limited to testing and periodic reviews, service provider oversight, regulatory filings, and Board reporting.Assist in conducting annual reviews of the Funds, Adviser, and broader compliance policies and procedures, while ensuring the firm is equipped for any future SEC examinations.Manage the coordination with internal teams to compile and prepare regulatory filings, disclosures, and reports as specified by regulatory authorities (e.g., Form ADV, Form PF).Engage with enterprise compliance to oversee Code of Ethics monitoring, conduct risk assessments, manage internal audits, perform compliance testing, and monitor service providers.Support the review of marketing materials, due diligence responses, and other fundraising and reporting documents from a regulatory and compliance perspective, as well as other general compliance matters and projects as needed.Qualifications:
4-7 years of relevant experience in a compliance role at an asset management firm; experience with private funds and/or business development companies is preferred.Extensive understanding of regulatory frameworks for U.S. investment managers, including knowledge of the Investment Company Act of 1940, the Investment Advisers Act, and FINRA regulations.Self-motivated with an entrepreneurial mindset and a focus on achieving results.Excels in a fast-paced, rigorous work environment, effectively prioritizing and meeting deadlines.Proficient in analyzing issues and developing innovative solutions.Outstanding at multitasking with a keen attention to detail.Compensation Expectations:
$150-175K base; $200-265K all-in (dependent on experience with flexibility)
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Fund has an extensive track record of strong investment performance across multiple economic cyclesIndividual will play an integral part of the diverse and cohesive team, sitting in a visible role directly under the CCONewly created opportunity (our favorites!) with ability to make a lasting impact on the firm and the teamCurrent assets exceed $40B and continue to grow, with capital also locked up for an extended period of timeThe company is proud of hiring top talent and advancing employees from withinResponsibilities:
Support in enhancing the compliance program to address evolving regulatory requirements and changes in the business.Collaborate closely with the CCO to offer comprehensive support for the compliance program in line with applicable laws and regulations, with a particular emphasis on the Investment Advisers Act and the Investment Company Act.Assist with key compliance issues related to the 1940 Act, including but not limited to testing and periodic reviews, service provider oversight, regulatory filings, and Board reporting.Assist in conducting annual reviews of the Funds, Adviser, and broader compliance policies and procedures, while ensuring the firm is equipped for any future SEC examinations.Manage the coordination with internal teams to compile and prepare regulatory filings, disclosures, and reports as specified by regulatory authorities (e.g., Form ADV, Form PF).Engage with enterprise compliance to oversee Code of Ethics monitoring, conduct risk assessments, manage internal audits, perform compliance testing, and monitor service providers.Support the review of marketing materials, due diligence responses, and other fundraising and reporting documents from a regulatory and compliance perspective, as well as other general compliance matters and projects as needed.Qualifications:
4-7 years of relevant experience in a compliance role at an asset management firm; experience with private funds and/or business development companies is preferred.Extensive understanding of regulatory frameworks for U.S. investment managers, including knowledge of the Investment Company Act of 1940, the Investment Advisers Act, and FINRA regulations.Self-motivated with an entrepreneurial mindset and a focus on achieving results.Excels in a fast-paced, rigorous work environment, effectively prioritizing and meeting deadlines.Proficient in analyzing issues and developing innovative solutions.Outstanding at multitasking with a keen attention to detail.Compensation Expectations:
$150-175K base; $200-265K all-in (dependent on experience with flexibility)
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