Vice President, Compliance - Confidential : Job Details

Vice President, Compliance

About the Company

Prominent investment management firm

Industry Investment Management

Type Privately Held

About the Role

The Company is in need of a Compliance Associate to play a pivotal role in the execution of its Anti-Money Laundering (AML) and Know Your Customer (KYC) protocols. The successful candidate will be responsible for overseeing AML/KYC procedures and workflows throughout the investment process, analyzing documentation for investor onboarding and monitoring, and maintaining comprehensive records for audit and regulatory purposes. This role also involves engaging in key risk management processes, such as vendor due diligence and compliance testing, and ensuring that the firm meets all regulatory expectations. The ideal candidate for this position is analytical, detail-oriented, and thrives in a dynamic, entrepreneurial environment. Applicants for the Compliance Associate position at the company should possess a Bachelor's degree and have strong organizational, project management, and communication skills. While not mandatory, a CAMS certification is a plus. The role requires a high level of attention to detail, proficiency in Microsoft Office, and the ability to manage confidential information with professionalism. The candidate should be comfortable working with colleagues across various departments and seniority levels, and be flexible, proactive, and able to adapt to shifting business needs. Responsibilities also include tracking regulatory changes, delivering internal guidance and training on AML/KYC obligations, and contributing to broader compliance and strategic projects as needed.

Travel Percent Less than 10%

Functions

• Finance
• Operations