Apply on Employer Site

Larson Maddox · 5 hours ago

Vice President of Compliance

Boston, MA

Full-time

Onsite

Senior Level

$150K/yr - $175K/yr

7+ years exp

Larson Maddox is a global investment management firm seeking a Vice President of Compliance to support its expanding platform of public investment vehicles and registered funds. This role is ideal for a seasoned compliance professional with deep experience in U.S. securities regulation and oversight of '40 Act products.

ConsultingHuman ResourcesRecruitingStaffing AgencyTraining

Responsibilities

Oversee processes related to SEC exemptive relief, including controls, documentation, and investment allocation monitoring

Prepare and manage board and committee materials, including minutes and regulatory reporting

Support governance requirements for registered entities

Collaborate on building technology and workflow solutions for the registered funds platform

Maintain regulatory filing calendars; assist with Form 3/4 and related submissions

Coordinate compliance testing and monitoring under Rule 38(a)-1

Review adviser and service provider reporting

Draft quarterly and annual compliance reporting for fund boards

Assist with documentation and monitoring of affiliated transactions

Support regulatory exam preparation and ongoing regulatory updates

Maintain and organize legal and fund compliance documentation

Update and maintain policies and procedures for registered funds

Qualification

Investment Company Act knowledgeSEC regulatory complianceRegulatory examination experienceStakeholder managementAnalytical tools proficiencyCommunication skillsHigh integrityJudgmentOperate independentlyHighly organizedManage multiple prioritiesExcel proficiencyPowerPoint proficiency

Required

7+ years of experience in investment company or investment adviser compliance

Strong knowledge of the Investment Company Act, Investment Advisers Act, and SEC regulatory expectations

Experience with regulatory examinations and enforcement themes

Excellent stakeholder management and communication skills

High integrity, strong judgment, and ability to operate independently

Highly organized with the ability to manage multiple priorities

Proficiency with Excel, PowerPoint, and analytical tools

Company

Larson Maddox

Larson Maddox is a legal recruitment agency that offers staffing, training, and consulting services.

New York, New York, USA

1001-5000 employees

http://www.larsonmaddox.com

Funding

Current Stage

Late Stage

Leadership Team

Jake Knowlton-Parry

Managing Director - Global Head of Regulatory & Legal

Company data provided by crunchbase