RESPONSIBILITIES AND QUALIFICATIONS
Asset Management (“AM”) Compliance is seeking a compliance Vice President to join the AM Compliance team in Dallas, specifically to support our divisional compliance policy program. AM Compliance provides daily advice to the AM business teams on portfolio management, investing and lending activities, fundraising, the Investment Advisers Act, Investment Company Act, reputational risk, and other various regulatory requirements.
We are seeking a detail-oriented and experienced team member who will be responsible for helping to uplift our divisional compliance policies and procedures to an enhanced firmwide framework. This role includes providing governance over our divisional compliance policy program, as well as substantive policy work (e.g., rationalizing current policies, helping to develop/draft new policies, and revising pre-existing policies as needed to align with regulatory requirements). The role requires excellent writing and project management skills, a strong understanding of applicable regulatory requirements, and the ability to communicate complex information clearly and concisely.
Principal Responsibilities:
- Collaborate with AM Compliance officers to help draft, rationalize, and update compliance policies and procedures outlining regulatory requirements and best practices
- Collaborate with subject matter experts to gather necessary information and ensure accuracy and relevance of content
- Proactively contribute and drive strategy to uplift our divisional compliance policies and procedures to an enhanced firmwide framework
- Provide governance over the AM Compliance divisional policy program, including with respect to prioritization of policy work, helping to ensure policy owners are timely updating documents, and reporting of management metrics
- Stay current with industry trends, legal developments and regulatory changes impacting Asset Management
Qualifications:
- Bachelor's degree required; JD preferred
- 4-8 years’ experience in policy writing, or in a legal or compliance role in the financial services industry. In depth knowledge of regulatory requirements in asset management a plus
- Strong project management skills
- Excellent oral and written communication skills, including editing and proofreading
- Ability to communicate complex regulatory requirements clearly and concisely
- Strong research and analytical skills
- Detail-oriented and able to produce quality work product, even when working under tight timeframes
- Comfortable being independent and a self-starter
- Ability to decipher and navigate ambiguous situations with the aim of developing solutions
- Proficiency in MS Office, PowerPoint, and Excel
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