Vice President, Compliance

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We're a rapidly growing SEC-registered investment advisory firm seeking a mid-level compliance or legal professional to join our expanding Legal, Compliance, and Risk Department. The ideal candidate should have at least three years of experience in investment advisor-related legal or compliance roles, with expertise in ultra-high-net-worth client management and private investment vehicles like hedge funds. SEC experience is preferred. You'll be tackling daily challenges arising from our significant national presence and managing approximately $20 billion in assets, collaborating closely with the Chief Legal and Compliance Officer. We value diverse perspectives that enhance our team's competitiveness and culture.

Vice President, Compliance Responsibilities

• Advise senior executives and the firm on compliance-related matters with excellent communication and advocacy skills.
• Analyze qualitative and quantitative business, legal, and compliance issues to provide informed recommendations efficiently.
• Preparation and filing of investment advisor filings.
• Implementation and maintenance of the compliance program to meet industry and regulatory standards.
• Monitoring of valuation information.
  
  

Vice President, Compliance Requirements

• Bachelor’s degree or equivalent work experience.
• Minimum of 3 years of investment advisory compliance experience, with preference given to SEC or related financial regulatory experience.
• Demonstrated track record of excellence.
• Agility to adapt to the competitive industry and the firm's fast-paced business priorities.
• Proficiency in Excel, Word, and PowerPoint.
• Familiarity with Addepar and Salesforce is strongly preferred.
  
  

Vice President, Compliance Benefits

• Competitive Salary
• Performance Bonus
• Excellent benefits
• 100% company-paid health insurance
  
  

At Goodwin Recruiting we are committed to our core values. We take our value, Dedicated to Diversity & Inclusion, very seriously and will never discriminate against a candidate or client based on any protected classes. Our clients seek qualified candidates, and that is what we deliver. A person's age, gender, race, sexual orientation, gender identity, national origin, veteran or disability status, or arrest or conviction record has no bearing on whether he, she, or they are able to do the job. We evaluate the knowledge, skills, and abilities that meet the requirements of the position and aim to open doors and change lives. We value all people, understanding that uniqueness and diversity foster a stronger team that is innovative and brings varying perspectives to the table. We put our money where our mouth is and are proud of our efforts to identify a broad slate of candidates, with many hiring success stories to share. JOB ID: 139798 #post

Jeremy Hamon

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, $110,000 - $135,000,