VP, Fund Compliance — 40 Act Expert, Board‑Ready
Wilshire-Advisors-LLC
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 over 7 years in compliance with a strong background in the Investment Company Act and substantial experience in board reporting. This role offers a hybrid working model, competitive salary, and comprehensive benefits. #J-18808-Ljbffr Wilshire-Advisors-LLC
- Wilshire Advisors LLC is looking for a Vice President, Registered Fund Compliance Officer to enhance its compliance program for registered funds... ...This pivotal role includes maintaining compliance, preparing board materials, and working closely with fund boards to ensure...Suggested
$150k - $175k
...iCapital is looking to hire a Compliance Officer to oversee the... ...supporting the Exchange‑Traded Funds (ETF) and 1940 Act Registered Funds businesses.... ...Responsibilities Maintain expert knowledge of regulations applicable... ...06(4)‑7 and Rule 38a‑1 for ’40 Act trusts, registered...SuggestedFull timeWork at officeRemote work$180k - $240k
...Vice President, Registered Fund Compliance Officer Full‑time. Department: Legal and Compliance... ...key compliance resource to the fund boards and works closely with internal... ...adherence to the Investment Company Act of 1940 (the “40 Act”) and applicable SEC regulations...SuggestedFull timeWork at officeWorldwide$165k - $250k
...credit, real assets and secondary funds, all on a global basis.... ...management of registered fund board materials.Managing regulatory... ...Working with the in-house Legal & Compliance team and external counsel to monitor... ...the Investment Company Act of 1940. Capital markets or similar...SuggestedLocal areaFlexible hours$170k - $220k
...countries through 40 offices and dozens... ...counter antisemitism and act as allies. The... ...transactions, ensuring compliance, stability, and... ...leadership and the Board. Provide clear analysis... ...and committee ready materials and presentations... ...program design and funding strategies. Provide...SuggestedFull timeContract workTemporary workWorldwideFlexible hours- ...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 include managing...Remote jobWork at officeFlexible hours
- 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...
- iCapital is seeking a Compliance Officer to oversee ETF and 1940 Act Registered Funds compliance programs and support advisers and pools. The role includes leading regulatory initiatives, designing scalable policies, and coordinating examinations with SEC, FINRA and NFA...Remote job
$200k - $240k
...prominent investment firm in New York seeks a Registered Fund Attorney Vice President to join its Legal team. The... ...drafting fund documentation, and advising on regulatory compliance related to the 1933 and 1940 Acts. Ideal candidates should have 4-5+ years of experience...Remote job- The Fund Administration Team is responsible for overseeing... ...the SEC and the 1940 Act, the Trust utilizes... ..., prepares and reviews board materials, ensures... ...registrations and tax compliance, and administers distributions... ...controls and operating readiness are in place prior to...Work experience placement
- ...located in New York is seeking a Senior Vice President to lead Legal and Compliance for its broker-dealer. This role involves providing legal and compliance support, drafting and negotiating critical fund-related agreements, and advising on complex regulatory matters. The...
$190k - $225k
Regulatory and Compliance, Registered Funds - Senior Vice President New York, New York, United States About... ...to manage iCapital’s registered 1940 Act product compliance program. This role... ...skills. Responsibilities Maintain expert knowledge of the Investment Company Act...Full timeWork at officeRemote work$90k - $175k
..., you will provide expert compliance guidance to a diverse... ...Advisers Act of 1940, FINRA rules... ...Company Act of 1940 (‘40 Act) a plus. The ideal... ...companies, closed-end funds, and BDCs on ‘40 Act compliance, board reporting, and co-... ...to new heights. Ready to build, protect,...Temporary work- JPMorgan Chase & Co. is looking for a Fund Controller (Private Credit) - Vice President to join the Product Administration Team in... ...overseeing financial operations for private credit funds and ensuring compliance with financial reporting standards. The ideal candidate will...
- ...requires a strong background in asset management, particularly in fund formation and advisory matters. The successful candidate will... ...the Asset and Wealth Management legal team, focusing on legal compliance, risk management, and supporting investment teams in a dynamic...
$175k - $240k
...Management Company is seeking a Vice President, Counsel - Legal Funds to provide legal support for its U.S. registered funds platform... ...fund-related agreements while advising on regulatory compliance and governance matters. The ideal candidate holds a Juris Doctor...$225k - $275k
...a Senior Vice President Attorney for the Private Wealth Public Funds Legal Group in San Francisco. This role involves overseeing legal... ...offering materials, managing corporate governance, and leading compliance initiatives. Ideal candidates will have over 7 years of...Full time- Larson Maddox is seeking a Vice President, Private Fund Attorney for its Legal team in New York City. This role emphasizes working with U.S. and Cayman private funds, providing exposure to fund formation, capital raising, and regulatory matters. The ideal candidate will...
- ...Vice President, Private Fund Attorney About the Company A global alternative investment... ...on various legal matters and ensuring compliance with regulatory obligations. Applicants... ..., such as the Investment Company Act of 1940, Investment Advisers Act, Securities...
$90k - $125k
Atlas Search is seeking a detail-oriented and proactive Fund Paralegal for a financial services firm in Manhattan. This role involves supporting legal operations like contract management and document preparation. Responsibilities include editing corporate documents and...Contract work$175k - $225k
...Job Title: VP of Finance Company: Solen... ...Partner with the CEO and board and provide advice... ...non-dilutive funding options, seller financing... ..., Reporting & Compliance Oversee the preparation... ...and support audit readiness. Ensure full... ...Performance Management Act as a strategic partner...Full timeLocal area- ...Sales, Customer Success, Compliance, and Engineering to... ...coverage. Role Overview The VP, Corporate Controller is... ...regulations, and deliver audit-ready financial statements.... ..., Kuala Lumpur, US) Act as a strategic partner to... ...the office and around 40% of the time working remotely...Temporary workWork at officeRemote workFlexible hours
$200k - $240k
...the Role iCapital is looking to hire a Registered Fund Attorney Vice President to join the Legal team. The... ...representing perpetual capital vehicles in the 1933 and 1940 Act space on a wide spectrum of matters including compliance and regulatory issues, capital raising, marketing,...Full timeWork at officeRemote work- ...legal documentation for private investment funds, including offering documents, limited... ...counsel on matters relating to regulatory compliance, corporate governance, and fund investment... ..., including the Investment Company Act of 1940, Investment Advisers Act of 1940,...
$160k - $220k
iCapital is hiring an Assistant Vice President or Vice President Fund Attorney in New York. This role focuses on U.S. and Cayman private funds, involving responsibilities like negotiating agreements, drafting legal documents, and advising on regulatory issues. Ideal candidates...- ...platform is seeking a Vice President, Private Fund Attorney to join its NYC-based Legal team... ...with regulatory filings and ongoing compliance obligations. Required Background J.D. and... ...frameworks, including the Investment Company Act of 1940, Investment Advisers Act,...Immediate start
- ...a New York Bar member with significant experience advising on U.S. banking laws. Responsibilities include advising on regulatory compliance, analyzing legal issues, and collaborating with various teams. This role offers competitive salary and benefits and a dynamic working...
- ...mission-driven individuals to join our Board of Directors and help shape the future of... ...with identifying partnerships, resources, funding opportunities, and community connections... ..., or public relations Legal, compliance, or human resources Mental health, healthcare...
- A top-tier Hedge Fund in Midtown, Manhattan is seeking a Fund Accountant for a full-time position. The successful candidate will manage NAV calculations, reconcile accounts, and ensure compliance with financial regulations. Required qualifications include a Bachelor's...Full time
$185k
...Investment Banking clients of Santander US. Act as advisor, consultant, and first point of... ...stakeholders both internal (CDD, Compliance, Risks, Legal, IT, Compliance, Operations,... ...non-exempt), the annual range is based on a 40-hour work week. The exact compensation may...Hourly payFull timeContract workWork experience placementWork at officeShift work
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