Senior VP, Compliance & Risk - Private Credit

InforCapital, partnership; New York (NY); On-site; USD 130,000 - 160,000; Full time

Job summary

InforCapital is looking for an experienced Assistant Vice President of Compliance to lead the compliance program for their investment advisory and broker-dealer operations. Located in New York, this role is essential for maintaining the firm's compliance standards while driving business objectives.

The successful candidate will have at least 7 years of experience in a regulatory compliance role, with the ability to manage complex conflicts and ensure the firm's high ethical standards are met.

Qualifications

• Minimum 7 years of related experience within the compliance function of a SEC registered investment adviser.
• FINRA Series 7 and/or Series 24 preferred.
• Knowledge of regulatory requirements in alternative asset management is essential.

Responsibilities

• Develop and manage the firm's risk management program.
• Identify areas for further development within the compliance program.
• Assist with maintaining compliance programs for investment products.

Skills

Regulatory compliance

Risk management

Investment management knowledge

Conflict resolution

Job description

InforCapital is looking for an experienced Assistant Vice President of Compliance to lead the compliance program for their investment advisory and broker-dealer operations. Located in New York, this role is essential for maintaining the firm's compliance standards while driving business objectives.

The successful candidate will have at least 7 years of experience in a regulatory compliance role, with the ability to manage complex conflicts and ensure the firm's high ethical standards are met.