Associate Vice President, Compliance

The Company is seeking an Associate Vice President for Compliance to join their team. The successful candidate will be responsible for supporting and executing the compliance program for the company's investment advisers. This includes leading key compliance processes, coordinating cross-functional initiatives, and providing guidance on regulatory and operational matters. The role also involves risk assessment and testing, regulatory filings, data privacy, third-party risk management, and AML and KYC review. The AVP will be a key contributor to the firm's data privacy program, serve as a subject matter expert for third-party risk management, and administer AML and KYC processes to ensure compliance with relevant laws and internal policies. Candidates for the AVP Compliance position at the company should have a Bachelor's degree and at least 6 years of investment adviser compliance experience. A strong working knowledge of legal and compliance terminology, as well as relevant acts such as the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, and Bank Secrecy Act, is essential. The role requires the ability to identify compliance risks, recommend enhancements to policies and procedures, and manage relationships with external compliance vendors. The ideal candidate will be adept at developing and implementing process improvements and technology solutions to enhance operational efficiency and regulatory oversight. Additionally, the AVP will be expected to support the Chief Compliance Officer in various compliance program initiatives and projects.