Vice President, Compliance

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We are a rapidly growing SEC-registered investment advisory firm seeking a mid-level compliance or legal professional to join our expanding Legal, Compliance, and Risk Department. We manage approximately $20 billion in assets and have a significant national presence. The ideal candidate should have at least three years of experience in legal or compliance roles related to investment advisory, particularly in managing ultra-high-net-worth clients and private investment vehicles such as hedge funds. Experience with the SEC is highly desirable. This role involves close collaboration with the Chief Legal and Compliance Officer and requires tackling the daily challenges that arise in a dynamic and competitive environment. We value diverse perspectives that contribute to our team's success and culture.

Vice President, Compliance Responsibilities:

• Provide expert advice to senior executives and the firm on compliance-related matters.
• Prepare and file investment advisor-related filings in accordance with regulatory requirements.
• Implement and maintain the firm's compliance program to ensure adherence to industry and regulatory standards.
• Analyze both qualitative and quantitative business, legal, and compliance issues, offering informed and timely recommendations.
• Monitor valuation information to maintain compliance and accuracy.

Vice President, Compliance Requirements:

• Bachelor's degree or equivalent professional experience.
• At least 3 years of experience in investment advisory compliance, with a preference for candidates with SEC or related financial regulatory experience.
• Proven track record of excellence in compliance roles.
• Ability to adapt to a competitive industry and the firm's fast-paced business priorities.
• Proficiency in Excel, Word, and PowerPoint.
• Familiarity with Addepar and Salesforce is strongly preferred.

Vice President, Compliance Benefits:

• Competitive Salary
• Performance Bonus
• Excellent benefits
• 100% company-paid health insurance

At Goodwin Recruiting we are committed to our core values. We take our value, Dedicated to Diversity & Inclusion, very seriously and will never discriminate against a candidate or client based on any protected classes. Our clients seek qualified candidates, and that is what we deliver. A person’s age, gender, race, sexual orientation, gender identity, national origin, veteran or disability status, or arrest or conviction record has no bearing on whether he, she, or they are able to do the job. We evaluate the knowledge, skills, and abilities that meet the requirements of the position and aim to open doors and change lives. We value all people, understanding that uniqueness and diversity foster a stronger team that is innovative and brings varying perspectives to the table. We put our money where our mouth is and are proud of our efforts to identify a broad slate of candidates, with many hiring success stories to share.

JOB ID: 143113

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Jeremy Hamon

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