Vice President, Investment Adviser Compliance (JD required)
Core
Senior regulatory adviser supporting investment professionals on complex investment structuring and regulatory matters across a global alternative asset platform.
Role type
Vice President, Investment Adviser Compliance (Senior IC Legal Counsel)
Builds
Regulatory analyses, memoranda, policies, guidance documents, and scalable governance frameworks for investment transactions.
Domain
Alternative Asset Management / Investment Advisers Act / Investment Company Act
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Deep knowledge of Investment Advisers Act of 1940 and Investment Company Act of 1940, experience with co-investment exemptive relief, affiliated transaction analysis, conflicts management, structuring complex investment vehicles, drafting regulatory memoranda, presenting to senior leadership, managing multiple sophisticated matters simultaneously.
Preferred skills
Experience at a leading law firm or in-house with an alternative asset manager, ability to partner with investment professionals and outside counsel, entrepreneurial mindset for developing governance processes.
Technologies
Legal research databases, transaction modeling tools, compliance management systems.
Responsibilities
Advise on novel transaction structures and regulatory matters, lead regulatory analysis of sophisticated multi-strategy transactions, analyze issues under SEC exemptive relief, develop commercially practical structuring alternatives, draft regulatory analyses and guidance documents, present recommendations to senior leadership, monitor legal and regulatory developments.
Seniority
Vice President, Senior IC with strategic advisory scope