VP, Compliance & Regulatory Strategy

Dexian; New York (NY); On-site; USD 140,000 - 180,000; Full time

Job summary

Dexian is seeking a Vice President (Compliance) in New York, NY, responsible for ensuring compliance with regulations such as the Investment Adviser Act. The role involves overseeing compliance programs, conducting surveillance activities, and preparing compliance reports. Ideal candidates will have a minimum of 8 years of experience in compliance within the investment advisory sector, knowledge of key regulations, and excellent communication skills. Join a welcoming environment focused on equal opportunity and inclusivity.

Qualifications

• Minimum 8 years of registered investment adviser and/or hedge fund legal or compliance experience.
• Knowledge of investment advisory and commodity trading advisory regulations.
• Strong communication skills in a diverse workspace.

Responsibilities

• Provide compliance support to ensure proper implementation of compliance programs.
• Review pitch books, reports, and marketing documents.
• Conduct compliance surveillance activities and prepare compliance reports.

Skills

Attention to detail

Research skills

Analytical skills

Communication skills

Organizational skills

Education

8 years of investment adviser or hedge fund compliance experience

Tools

ComplySci

ComplianceAlpha

Job description

Dexian is seeking a Vice President (Compliance) in New York, NY, responsible for ensuring compliance with regulations such as the Investment Adviser Act. The role involves overseeing compliance programs, conducting surveillance activities, and preparing compliance reports. Ideal candidates will have a minimum of 8 years of experience in compliance within the investment advisory sector, knowledge of key regulations, and excellent communication skills. Join a welcoming environment focused on equal opportunity and inclusivity.