Vice President of Compliance

Vice President of Compliance

About the Company

Alternative investment manager seeking compliance leadership for complex CFTC and NFA matters

Industry
Financial Services

Type
Privately Held

About the Role

The Company is seeking a Vice President of Compliance to support its investment adviser compliance program, with a focus on CFTC and NFA regulatory matters, commodity interests, and derivatives. Responsibilities include interpreting regulatory requirements, advising investment and business teams, managing registrations and filings, and monitoring obligations related to disclosure, reporting, recordkeeping, marketing, supervision, and investor eligibility. The role also involves reviewing funds, strategies, instruments, accounts, and counterparties; updating policies and controls as regulations change; and supporting risk assessments, testing, examinations, and inquiries. The successful candidate will provide practical guidance to senior leaders and collaborate across business functions to maintain an effective compliance framework. Candidates must have at least five years of relevant compliance or legal experience in investment management, commodities, derivatives, or financial services, with hands-on knowledge of CFTC regulations and NFA rules. Strong understanding of futures, options on futures, swaps, CPO/CTA requirements, and related filings is required; familiarity with CPO-PQR and CTA-PR reporting is preferred. Knowledge of investment adviser regulations, compliance reviews, examinations, and policy development is beneficial. A bachelor’s degree is required, while a law degree, compliance certification, or other relevant advanced credential is a plus. Strong analytical judgment, communication, organization, discretion, and proficiency with Excel and office software are also expected.

Functions

• Finance