VP, Regulatory and Compliance Counsel

Vice President, Regulatory Counsel
Financial Services
Financial Services
Venture Capital
Consulting & Professional Services
Asset Management
Private Equity
Credit Analysis
Banking
Financial Contracts
Finance
Insurance
Financial Investment
cash flow lending
and single source financing solutions
private credit
liquid credit
credit secondaries
credit advisory
private debt
The Company is in search of a Vice President, Regulatory Counsel to join their dynamic Compliance team. The successful candidate will be a key player in the firm's growth, ensuring the highest regulatory and ethical standards are upheld. This role is pivotal in providing guidance on global regulations, industry developments, and best practices, particularly in support of the firm's private credit strategy and fund structures. The VP will be responsible for interpreting and operationalizing compliance policies, leading the implementation of new regulatory requirements, and representing Compliance in enterprise-wide initiatives. Applicants for the Vice President, Regulatory Counsel position at the company should have a minimum of 8-10 years' of relevant compliance experience in the asset management industry, with a preference for those with private debt experience. A JD is preferred, and a background in law firm, in-house, and/or SEC experience is a plus. The role requires a comprehensive knowledge of US laws applicable to investment advisers, including the Investment Advisers Act of 1940 and Investment Company Act of 1940. The candidate must be adept at identifying regulatory and compliance issues, proposing solutions, and have the ability to raise significant issues to firm leadership. The role also calls for a leader who fosters an inclusive culture, demonstrates innovation, and is adept at managing change with resilience.
Managing Director, Chief Compliance Officer
Legal

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