Senior VP, Regulatory & Compliance - Registered Funds
Partnership Employment
Partnership Employment in New York is seeking a compliance professional to serve as a subject matter resource on U.S. regulatory frameworks. The role requires oversight of compliance activities for investment products and partnerships with various business teams to ensure regulatory obligations are met. This position involves leading compliance workstreams, developing policies, and conducting reviews to identify potential compliance concerns. A strong focus on collaboration and ongoing process improvement is essential. #J-18808-Ljbffr Partnership Employment
- iCapital is looking for a Senior Vice President in New York to lead its Regulatory and Compliance team focused on compliance within registered funds. This position demands extensive experience in regulatory matters including the Investment Company Act of 1940. Responsibilities...SeniorRemote jobWork at officeFlexible hours
$190k - $225k
Regulatory and Compliance, Registered Funds - Senior Vice President New York, New York, United States About the Role iCapital is seeking a Senior Vice President to join its Regulatory and Compliance team to manage iCapital’s registered 1940 Act product compliance program...SeniorFull timeWork at officeRemote work$200k - $240k
About the Role iCapital is looking to hire a Registered Fund Attorney Vice President to join the Legal team. The focus of this role... ...1940 Act space on a wide spectrum of matters including compliance and regulatory issues, capital raising, marketing, investor relations, fund...SeniorFull timeWork at officeRemote work- The Blackstone Group L.P. seeks an experienced attorney to support registered funds within the Private Wealth group. You will manage fund formation, regulatory filings, and board materials while coordinating with Investment Teams, Tax, and Finance across US, Europe, and...Suggested
$180k - $240k
...Vice President, Registered Fund Compliance Officer Full‑time. Department: Legal and Compliance. As part of the Wilshire family, you can rest assured... ...compliance requests, Form ADV annual updates, and other regulatory compliance matters as needed. Assist with special projects...SuggestedFull timeWork at officeWorldwide$165k - $250k
...assets and secondary funds, all on a global basis... ...business, with a focus on registered funds and BDCs within... ...materials.Managing regulatory filings (e.g., 8-Ks, 1... ...the in-house Legal & Compliance team and external counsel... ...investment team and senior management.Qualifications...Local areaFlexible hours- ...firm located in New York is seeking a Senior Vice President to lead Legal and Compliance for its broker-dealer. This role involves... ..., drafting and negotiating critical fund-related agreements, and advising on complex regulatory matters. The ideal candidate will have...Senior
$225k - $275k
The Blackstone Group L.P. is seeking a Senior Vice President Attorney for the Private Wealth Public Funds Legal Group in San Francisco. This role involves overseeing... ..., managing corporate governance, and leading compliance initiatives. Ideal candidates will have over 7 years...SeniorFull time- ...Senior Legal Counsel, Registered Funds About the Company Financial services. Industry Financial Services Type Privately Held About... ...other documentation. This role also involves ensuring compliance with SEC and FINRA regulations, particularly in the...Senior
- Alexander Chapman is seeking an experienced Compliance Officer in New York to support a leading SEC-registered investment adviser platform. The role... ...compliance programs, assisting fund launches, and ensuring adherence to regulatory requirements. The ideal candidate...Senior
$175k - $240k
...Company is seeking a Vice President, Counsel - Legal Funds to provide legal support for its U.S. registered funds platform. The role involves drafting and... ...fund-related agreements while advising on regulatory compliance and governance matters. The ideal candidate holds...$150k - $175k
...Role iCapital is looking to hire a Compliance Officer to oversee the relevant investment... ...supporting the Exchange‑Traded Funds (ETF) and 1940 Act Registered Funds businesses. This individual... ...Rule 6c‑ Monitor and advise on regulatory developments affecting ETFs, including...Full timeWork at officeRemote work$200k - $240k
A prominent investment firm in New York seeks a Registered Fund Attorney Vice President to join its Legal team. The role involves negotiating... ...agreements, drafting fund documentation, and advising on regulatory compliance related to the 1933 and 1940 Acts. Ideal candidates should...Remote job$130k - $160k
Antares Capital LP. is seeking an Assistant Vice President of Fund Accounting to oversee financial reporting and fund initiatives. The candidate will manage cash activities, portfolio reconciliations, and respond to investor inquiries. Must have a Bachelor’s degree in...Senior$175k - $223k
MUFG in New York is looking for a Fund Finance professional to enhance its Financial Institutions Group. The role involves supporting credit portfolios for Private Equity fund clients and includes responsibilities such as underwriting and managing credit facilities. The...Senior- Santander US is seeking a Vice President in Origination to enhance its Fund Solutions platform. This senior role involves originating and executing financing solutions for private capital clients. The successful candidate should have substantial experience in fund finance...Senior
- Program Group Manager (Senior Vice President) Apply (opens in new window) Job Req Id: 269... ...strategic programs for Citi's Custody and Fund Services. This role is central to bridge... ...particularly within Global Custody services and the regulatory landscape in the UK and Ireland. A strong...SeniorFull timeCasual workWork at officeWork from home
$102k - $228k
BNY seeks an experienced Senior Vice President, Fund/Client Accounting Manager. This role involves directing multiple Fund Accounting teams and ensuring effective management and operational objectives. You'll address client relationships, oversee fund performance accountability...Senior- ...Reporting to Deputy GC role will focus on registered funds legal matters About Our Client... ...Financial services. Job Description The Senior Counsel will work with the Deputy... ...documentation, reviewing for SEC and FINRA compliance Provide legal advice and aid in...SeniorPermanent employmentWork at office
- Wilshire-Advisors-LLC is seeking a Vice President, Registered Fund Compliance Officer to enhance compliance for their registered fund complex. You will manage compliance programs, prepare board materials, and serve as a key compliance resource. The ideal candidate has...
- ...Senior Vice President, Hedge Fund Credit Risk (Prime Financing) About the Company Respected financial services company specializing in investment management & research Industry Financial Services Type Public Company About the Role The...Senior
- ...Senior Vice President of Compliance About the Company Lead compliance initiatives at a dynamic investment firm ensuring regulatory excellence. Industry Financial Services Type Privately... ...experience at an SEC-registered investment adviser. Expertise...Senior
- ...Senior Vice President, Insurance Compliance About the Company Diversified real estate investment company... ...Founded 1988 Employees 501-1000 Funding $200+ million Categories... ...Compliance to oversee and manage the regulatory compliance function across its...Senior
- Deutsche Bank is seeking a Branch Administrative Manager in New York to supervise regulatory compliance for Ultra-High Net Worth clients. The role requires a Vice President with strong regulatory background, tasked with managing risks and implementing strategic initiatives...Senior
$300k - $400k
...global alternative asset manager as they seek to hire a Senior Vice President of Fund Accounting to oversee their fast growing multi-credit asset... .... Coordinate across internal functions - including Compliance, Legal, Tax and Valuation - as well as external counter-parties...SeniorWork at office3 days per week- Acrisure UK Retail Limited is looking for a VP Compliance based in New York. Reporting to the Global Head of Risk & Compliance, the role... ...(re)insurance broking experience. The candidate will manage regulatory compliance and provide key business support. We offer a competitive...Senior
$90k - $175k
...you will provide expert compliance guidance to a diverse range... ...firms, including registered investment advisers, broker... ...work alongside accomplished senior staff, deepen your regulatory expertise, mentor junior... ...investment companies, closed-end funds, and BDCs on ‘40 Act...SeniorTemporary work$125k - $150k
Blue Owl in New York is seeking a Registered Fund Reporting Senior Associate to support external financial reporting for Direct Lending registered... ...and review of SEC filings, ensuring accuracy and compliance. Candidates should have a Bachelor’s or Master’s in Accounting...Senior$300k
Phoenix VX is seeking a highly experienced Investment Funds Attorney to join their sophisticated practice in New York. The role requires expertise in fund formation, structuring, and regulatory compliance, making it ideal for attorneys looking to thrive in a high-level...Senior$200k
...client, an entrepreneurial multibillion dollar investment fund, invests in private equity and opportunistic credit with a... ...returns in both credit and PE. The fund would like to find a Senior Associate or Jr VP to support the head of credit with a broad set of skills. The...Senior
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