VP Alternative Asset Management Compliance

  • Base salary, bonus and benfits
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • The Forum Group
  • 18 Jun 18 2018-06-18

Experienced Compliance Officer to provide advisory Compliance support to the Alternatives Investment Teams in AWM which focus on the investment of direct real estate, real estate securities, private equity and hedge fund products

The successful candidate will:

  • Provide advisory Compliance support to the Alternatives businesses which offer investment solutions to institutional and high net worth investors through a variety of investment structures;
  • Represent Compliance in the new product approval process which includes reviewing new products and new initiatives, identifying and assessing potential regulatory and reputational risks, developing solutions to mitigate risks;
  • Provide advisory support on marketing and structuring of new products;
  • Maintain current expertise on the regulatory environment and provide advice to the business on the implementation of new regulations such as Dodd Frank, Volcker and CFTC reform;
  • Develop Compliance policies and provide annual and ad hoc training to the business;
  • Support the business in developing appropriate controls and procedures to mitigate business and product specific risks;
  • Contribute to the development and perform monitoring/testing of the business’s controls.


The successful candidate will possess the following skill sets:

  • Bachelors degree;
  • 5+ years of compliance experience, including experience with real estate, hedge funds, infrastructure and private equity products; or within the asset management practice at a law firm
  • Knowledge of the Securities Acts of 1933, 1934 and 1940;
  • Knowledge of marketing review principles;
  • Familiarity with Regulatory Reform including Dodd Frank, Volcker and CFTC;
  • Experience with drafting and implementing policies and procedures;
  • Ability to work effectively in a global environment; leveraging and sharing best practices and insights of Legal and Compliance colleagues globally;
  • Strong strategic, problem solving and analytical skills;
  • People skills, leadership qualities and communication skills;
  • Motivated, diligent and excellent writing skills;
  • Ability to work on multiple projects in a fast paced environment.