About the Opportunity
Our client, a leading global investment solutions platform, is seeking a Senior Vice President of Registered Funds Compliance to join its Regulatory and Compliance team in New York City. This executive-level role will oversee the firm’s registered investment product compliance program, partnering closely with Legal, Portfolio Management, and senior leadership to ensure adherence to complex regulatory frameworks. The ideal candidate will bring extensive experience managing compliance for registered investment funds under the Investment Company Act of 1940. This individual will lead a growing team, oversee policies and testing programs, and ensure marketing and board materials align with SEC and FINRA standards. The role requires strong leadership, technical expertise, and the ability to navigate an evolving regulatory landscape with confidence and precision.
The annual base salary range is $190,000 to $240,000. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things. Details about eligibility for bonus compensation (if applicable) will be finalized at the time of offer.
Job Responsibilities
- Lead the compliance oversight program for registered funds, ensuring all products and activities align with 1940 Act and FINRA requirements
- Manage and mentor a team of compliance professionals focused on registered investment products
- Oversee preparation and delivery of board reporting, including the annual 15(c) review process
- Review and approve fund marketing materials and investor communications for SEC and FINRA compliance
- Partner with Legal and external counsel on periodic filings, certifications, and disclosures
- Maintain and enhance compliance testing programs, policies, and procedures
- Conduct training on regulatory developments, disclosure obligations, and best practices for registered funds
- Monitor industry trends, regulatory rulemaking, and enforcement actions to proactively adapt internal compliance frameworks
Job Requirements
- Bachelor’s degree in Finance, Law, or a related discipline
- JD preferred but not required
- 10+ years of experience in compliance, with a background in both broker-dealer and registered investment adviser environments
- Strong working knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, SEC Rule 482, and FINRA Rule 2210
- FINRA Series 7 and 24 licenses required
- Experience managing EDGAR filings, including shareholder reports (N-CSR) and tender offers (SC TO-I)
- Proven leadership and team management experience
- Exceptional organizational, analytical, and communication skills with the ability to operate in a fast-paced and evolving environment
- Proficiency in Microsoft Excel and Word
