VP, Compliance Officer

Full Time

Investment Banking Client

Office Status: Hybrid


  • Perform periodic compliance reviews, including forensic testing and management reporting on results. Work closely with firm’s various functional teams on implementing, monitoring and updating all necessary compliance policies and procedures.
  • Conduct ongoing Code of Ethics monitoring and manage conflicts of interest.
  • Review electronic communications.
  • Administer compliance training.
  • Review transactions to ensure the firm’s compliance with guidelines, best execution, and other internal policies.
  • Assist with the firm’s regulatory filings (Form ADV, Form PF, CPO-PQR, CTA-PR, Form D, 13F, etc.)
  • Assist with information/document requests from the regulators, auditors, and compliance consultants.
  • Review pitch books, monthly reports, DDQs and other marketing documents. Participate in investor operational due diligence meetings
  • Conduct service provider due diligence.
  • Perform investor qualification and AML/KYC verifications for new clients / investors
  • Provide advice and support to marketing and operational teams for new business initiatives
  • Keep the firm current with new rules, regulations and other legal and compliance requirements and updating all necessary colleagues in a concise, practical manner
  • Interact with and report compliance matters to the foreign parent company’s compliance team
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