Global Regulatory Compliance VP — Filings & Oversight

Coda Search; Greenwich (CT); On-site; USD 140,000 - 230,000; Full time

Job summary

Coda Search is seeking a senior compliance specialist for a global asset management firm in Greenwich, CT. You will oversee regulatory reporting for hedge funds, mutual funds, and separate accounts, ensuring alignment with global regulations and governance standards.

Ideal candidates have 5+ years in asset management compliance, with hands-on experience in 13F/13G, TIC, and derivative filings, and the ability to translate complex requirements into actionable internal policies.

Qualifications

• Minimum 5 years of experience in compliance at a global asset management firm.
• Experience with shareholder of interest filings and Section 13.
• Familiarity with TIC reporting and derivative-related filings.

Responsibilities

• Oversee the global regulatory reporting and ensure compliance of operations and investment strategies.
• Coordinate preparation and filing of forms such as Form ADV, Form PF, 13F, 13G/D and other global filings.
• Monitor evolving regulations from SEC, FINRA, CFTC, NFA and translate into internal policies.

Skills

Regulatory reporting

Financial regulations

Policy drafting

Stakeholder comms

Risk management

Education

Bachelor's degree

Job description

Coda Search is seeking a senior compliance specialist for a global asset management firm in Greenwich, CT. You will oversee regulatory reporting for hedge funds, mutual funds, and separate accounts, ensuring alignment with global regulations and governance standards.

Ideal candidates have 5+ years in asset management compliance, with hands-on experience in 13F/13G, TIC, and derivative filings, and the ability to translate complex requirements into actionable internal policies.