Vice President Compliance

Cardea Group; New York (NY); Presencial; USD 180.000 - 280.000; Jornada completa

Descripción de la vacante

Cardea Group in New York, NY seeks a Vice President, Compliance to lead day-to-day compliance for our global investment platform. You will partner with the CCO and investment teams, ensuring robust program administration across US and international obligations.

The role requires 7–9 years of in-house investment management compliance, with SEC adviser familiarity and strong knowledge of the Advisers Act. Independent work style and proactive problem solving are essential.

Formación

• 7–9 years of in-house investment management compliance experience.
• Experience with an SEC-registered investment adviser (private equity / private credit) required.
• Strong working knowledge of the Investment Advisers Act and related rules.
• Ability to independently manage day-to-day compliance matters.
• Experience supporting investment professionals and multiple compliance functions.
• SEC examinations experience is a plus.
• Confident, proactive, and able to operate independently.
• Curious about evolving regulatory requirements and market trends.

Responsabilidades

• Support the CCO in day-to-day administration of the compliance program.
• Serve as a generalist across compliance functions including annual reviews, policy development, surveillance, training, and remediation.
• Monitor regulatory developments and assess impact on policies and procedures.
• Partner with investment and functional teams to address compliance matters.
• Prepare investor due diligence responses and ad hoc inquiries.
• Review marketing materials for compliance with SEC rules and other requirements.
• Oversee regulatory filings (e.g., Form ADV, Form PF, 13F, 13D, 13H).
• Assist with MNPI controls and restricted list management.
• Support regulatory examinations and information requests.
• Identify AI/tech opportunities to improve compliance efficiency.

Conocimientos

Regulatory compliance

Investment management

SEC regulations

Policy development

Due diligence

Descripción del empleo

Vice President, Compliance (New York, NY): A leading global alternative investment firm is seeking a Vice President of Compliance to join its Legal and Compliance team in a newly created capacity to work closely with the CCO. This individual will serve as a key member of the compliance team, providing broad support across the firm's US and international compliance obligations. The ideal candidate will bring strong investment management compliance experience, sound judgment, and the ability to operate independently while partnering closely with the CCO and investment professionals.

Key Points

• Join an established global investment platform with over $40B in AUM.
• Broad exposure across private equity, private credit, and global regulatory compliance.
• Opportunity to take ownership of day-to-day compliance responsibilities and contribute to the continued development of the firm's compliance program.
• Work closely with investment and functional teams across the organization.
• Opportunity to identify and implement AI-driven solutions to improve compliance processes.

Responsibilities

• Support the CCO in managing the day-to-day administration of the firm's compliance program.
• Serve as a generalist across compliance functions, including the annual compliance review, policy development and maintenance, surveillance, employee training, and violation tracking and remediation.
• Monitor regulatory developments and assess the impact of new requirements on the firm's policies and procedures.
• Partner with investment and functional teams to address compliance matters and support business initiatives.
• Prepare and respond to investor due diligence requests, including annual and ad hoc inquiries.
• Review marketing materials for compliance with the SEC Marketing Rule and other applicable requirements.
• Oversee regulatory filings, including Form ADV, Form PF, 13D/G, 13F, 13H, CFTC exemptions, AIFMD/Annex IV, and other applicable filings.
• Assist with management of the firm's restricted list, including identifying potential material nonpublic information (MNPI) concerns and recommending appropriate actions.
• Support regulatory examinations and information requests.
• Identify opportunities to leverage AI and technology to improve the efficiency of the compliance program.

Qualifications

• Approximately 7–9 years of compliance experience within an in-house investment management environment.
• Experience with an SEC-registered investment adviser – specifically a private equity and/or private credit fund required.
• Strong working knowledge of the Investment Advisers Act and related regulatory requirements.
• Ability to independently manage day-to-day compliance matters, exercise sound judgment, and identify issues requiring escalation.
• Experience working with investment professionals and supporting a broad range of compliance functions.
• Prior experience with SEC examinations is a plus.
• Confident, proactive, and comfortable operating independently.
• Intellectually curious, with a genuine interest in the investment management industry and evolving regulatory requirements.
• Strong communicator who can build trust across the organization and engage effectively with senior professionals.