Vice President of Compliance
Our client is a high‑growth investment manager seeking a VP of Compliance to help shape and advance the firm’s regulatory strategy as it scales. This is a newly created role due to the success and growth trajectory of the firm. This senior position partners directly with the Chief Compliance Officer and offers exposure to new products, evolving business initiatives, and complex regulatory considerations. You’ll work closely with investment and product teams and play a key role in building structured compliance frameworks. In particular, it’s well‑suited for those who are proactive and used to a high‑growth environment.
Impact of the Role
- Define how the firm interprets and implements evolving guidance from U.S. regulators (SEC, FINRA, NFA)
- Work with portfolio and product stakeholders to pressure‑test regulatory risks for new offerings, especially those with complex or derivatives elements
- Build and enhance governance frameworks supporting new business efforts and growth initiatives
- Oversee the development, maintenance, and execution of firm‑wide policies, procedures, and compliance training
- Lead responses to detailed diligence requests, regulatory inquiries, and reviews from external partners
Requirements
- 7+ years of compliance experience within an SEC‑registered investment adviser or comparable regulatory/legal environment
- ’40 Act experience
- Strong understanding of U.S. securities laws governing investment advisers and registered products (’33/’34 Acts, Advisers Act)
- Bachelor’s degree
- Must be U.S.-based and available during Eastern Time working hours
Nice to Have
- Series 7
- J.D.
- Experience with derivative‑based strategies
- Broker‑dealer experience
- Exposure to VC
The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.
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