VP of Compliance

  • Greenwich
  • Atlantic Group

Overview:<br><ul><li>Specialist asset manager focused on credit investments - AUM around $9B</li><li>Approximately 75 employees - excellent culture and ability to grow with the firm</li><li>Looking to hire the head of Public Funds compliance with pathway to CCO title</li></ul><br>Responsibilities:<br><ul><li>Drive the regulatory compliance function for all matters relating to the registered and regulated investment vehicles managed by the firm (including closed-end funds, interval funds and business development companies), with a focus on the Investment Company Act of 1940</li><li>Manage regulatory filings, including ad hoc filings and regular periodic SEC filings (such as Form 8-K and quarterly tender/repurchase offers)</li><li>Coordinate corporate governance matters for the Regulated Funds, including preparing and reviewing materials for meetings of the boards of directors/trustees</li></ul><br>Qualifications:<br><ul><li>5th or 6th year big-law associate from Investment Management, Public Funds, Mutual Funds group</li></ul><br>Comp: $300-400k total compensation<br><br>#37097