Vice President of Investment Compliance

Job Summary

Leading the operational execution of investment compliance, the full-time Vice President of Investment Compliance will translate policies into executable controls and governance processes while building a dedicated compliance operations function in a remote environment.

Key responsibilities

• Lead the operational execution of investment compliance by developing monitoring frameworks and governance processes across the investment lifecycle
• Direct and develop a team responsible for compliance operations, establishing accountability and a culture of continuous improvement
• Design and implement a comprehensive compliance control framework, ensuring adherence to regulatory requirements and effective monitoring of compliance activities

Required qualifications

• Bachelor's degree in Finance, Accounting, Economics, Law, or a related field
• 12-15+ years of experience in investment compliance operations or regulatory oversight within asset management or insurance
• Deep understanding of investment guidelines, trade lifecycle mechanics, and compliance monitoring systems
• Experience in operationalizing regulatory frameworks into executable controls
• Proven experience in building or transforming compliance operating models