Vice President, Compliance

Cardea Group; New York (NY); On-site; USD 225,000 - 250,000; Full time

Job summary

Cardea Group, a leading global alternative investment firm, seeks a Vice President of Compliance to join its Legal and Compliance team in a newly created role. The VP will work closely with the CCO, providing broad support across US and international compliance obligations, and will own day-to-day tasks while engaging with investment professionals.

The ideal candidate has 7–9 years of in-house investment management compliance experience, strong knowledge of the Investment Advisers Act, and a

Qualifications

• 7–9 years of compliance experience within an in-house investment management environment.
• Experience with an SEC-registered investment adviser – 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 and escalate as needed.
• Experience collaborating with investment professionals and supporting a broad range of compliance functions.

Responsibilities

• Support the CCO in managing day-to-day administration of the firm’s compliance program.
• Serve as a generalist across compliance functions (annual review, policy development, surveillance, training, remediation).
• Monitor regulatory developments and assess impact on 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/ad hoc inquiries.
• Review marketing materials for compliance with SEC Marketing Rule and other requirements.
• Oversee regulatory filings (Form ADV, Form PF, 13D/G, 13F, 13H, CFTC exemptions, AIFMD/Annex IV).
• Assist with management of restricted list and MNPI concerns; recommend actions.
• Support regulatory examinations and information requests.
• Identify opportunities to leverage AI/tech to improve efficiency.

Skills

In-house compliance

Investment management

Regulatory compliance

Communication

Job description

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.

Keys to This Hire

• 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.

Compensation: $225-250k base; $325-350k all-in
Job Reference Number: 3709294