VP, Compliance Strategy & Regulatory Excellence

Cardea Group; New York (NY); On-site; USD 180,000 - 280,000; Full time

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Regulatory compliance

Investment management

SEC regulations

Policy development

Due diligence

Job description

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.