Assist in development of the compliance program for 40 Act and 33 Act funds, including providing support for new product development and implementation of new regulations
Support digital assets and tokenization initiatives across the fund platform
Play a key role in strategic projects involving digital assets, including the implementation of new controls and enhancements to existing frameworks
Collaborate on new fund launches and enhancements with a focus on ETFs
Implement compliance programs/control frameworks relevant to regulatory risks and legal requirements, including development of policies and procedures and associated testing program

6-10 years of relevant experience from a legal and compliance department of a leading investment management/financial services organization
Experience with the Investment Company Act of 1940 is preferred
Working knowledge of digital assets, including tokenization is preferred
Experience implementing controls for policies and procedures applicable to investment professionals
Familiarity with compliance related software and applications
Strong organizational skills and ability to manage multiple time sensitive matters in a demanding, fast-paced and fluid environment
Business and solution-oriented approach to interacting and working with key business partners is critical for this role
Exceptional analytical, written and oral communication and relationship-building skills required
Proven track record working as a member of a team
Strong ability to solve problems in a practical manner and to communicate complex concepts in an understandable way
Bachelor’s degree required; law degree or M.B.A. welcome.

Vice President, 1940 Act Compliance

Key skills