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Vice President, Compliance - NY

New York, New York, United States

Jordan Park provides investment management and financial advice to a distinct community of individuals, families, and institutions. Our clients have made extraordinary contributions to business, philanthropy, government, and society. Our team is composed of empathetic problem solvers with depth and diversity of experience. We embrace complexity and navigate challenges to empower clients to achieve their optimal outcomes.

Our mission is to enhance lives and legacies.

 

Vice President, Compliance
New York, New York

We are looking for an exceptional compliance professional to support the growth of our multi-family office and investment advisory firm based in San Francisco, New York and Portsmouth, New Hampshire.  This position will be based in New York. This is an opportunity to work within the Compliance team led by the Chief Compliance Officer who is based on San Francisco.  The Compliance team works closely with our partners across the advisory and investment businesses, within a firm united by a passion for service, strong sense of integrity, and desire to have a positive impact on the world.  We strive to create a best-in-class compliance program in support of serving clients at the highest level of trust and partnership, and to reflect the firm’s commitment to meeting our regulatory obligations and managing risk. 

About the Role

The Vice President, Compliance will be responsible for several critical regulatory and compliance processes for the firm, including the policies and procedures relating to the firm’s wealth management and private fund business activities. Primary responsibilities will initially involve supporting the firm’s marketing and communications efforts and approval of marketing relating to the investment platform and private funds. Other responsibilities will evolve over time as business growth continues and will reflect the candidate’s level of experience. Responsibilities will generally include some or all of the following:  

  • Primary responsibility for marketing compliance policies, procedures and review process including managing workflows, training staff and active engagement with communications and investor relations team
  • Manage regulatory quarterly and annual regulatory filings such as Form ADV, Form PF, and 13F, with responsibility for maintaining related procedures
  • Provide compliance oversight of the firm’s private funds investment activities, ensuring compliance with the firm’s Conflicts of Interest, Handling of MNPI, Valuation, Allocation, Investor Onboarding and other related policies
  • Provide compliance training to all employees of the firm regarding the firm’s compliance policies
  • Manage audit and testing reviews, working with business units to resolve findings and remediation items
  • Approve employee activities relating to the firm’s Code of Ethics policies
  • Monitoring and surveillance of employee activities, including electronic communications
  • Compliance support of the firm’s Vendor Management, Information Security, Cybersecurity and Books and Records programs
  • Perform surveillance tasks to verify the firm’s compliance with policies and procedures
  • Create and maintain reports of Compliance activities provided to senior management, including remediation and exception reporting
  • Support strategic projects across business functions to ensure Compliance requirements are met

About You

  • Have 8+ years of experience working in a compliance role at a financial services firm, with at least 4 – 5 years at a private fund adviser
  • Have knowledge of the SEC’s Investment Advisers Act of 1940 (experience with and understanding of affiliated broker/dealer activities a plus)
  • Have experience supporting a compliance program for a private fund investment adviser
  • Have managed the marketing review and approval process for an investment adviser
  • Are familiar with marketing and solicitation rules in non-U.S. jurisdictions
  • Have managed regulatory change implementation including rule analysis, policy development and training
  • Have experience developing processes and “operationalizing” compliance functions
  • Are willing to learn and leverage technology tools to help drive efficiency and progress
  • Are well-organized and pay attention to the details
  • Like to “roll up your sleeves” and get things done
  • Enjoy solving problems and finding creative solutions for our clients
  • Don’t get flustered easily
  • Can communicate effectively with a broad range of stakeholders
  • Are discreet in handling sensitive and confidential information
  • Work well independently and as part of a team
  • Have a bachelor’s degree (a J.D. from an accredited law school is a plus)

Compensation & Benefits

Compensation at Jordan Park includes a base salary, discretionary year-end bonus, benefits and other perks.  We apply a total reward philosophy when determining compensation terms.

The expected base salary for this role in New York, New York will range from $125,000 - $175,000 per year commensurate with experience, job-related skills, relevant education, licenses and certifications, and other business and organizational needs.

Our benefits package includes: 

  • Medical, dental & vision insurance – 100% of premium covered for employees
  • 401k participation with employer contribution
  • Generous paid time off 
  • Commuter benefits program (pre-paid tax dollars towards your commute)
  • Fitness Reimbursement
  • Annual Professional Development Stipend

 

We are empathetic problem solvers and subject matter experts, committed to serving clients at the highest level of trust and partnership. Our hallmarks of responsiveness, availability, dependability, and competency are our highest priorities.

Jordan Park is always seeking great talent.  We are proud to be an equal opportunity employer, and we consider qualified applicants without regard to race, color, religion, sex, national origin, ancestry, age, genetic information, sexual orientation, gender identity, marital or family status, veteran status, medical condition or disability.  We comply with the San Francisco Fair Chance Ordinance and will consider for employment qualified applicants with arrest and conviction records.

For information about our privacy practices, including disclosures for California residents, please see our Privacy Notice

Jordan Park is an SEC-registered investment adviser (RIA). 

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