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Regulatory And Compliance Counsel
Refer job# CYRP140201
 
Regulatory and Compliance Counsel The candidate will work closely with the Firm s Global Chief Compliance officer ( Global CCO ) to ensure compliance with all applicable laws and industry regulations. Under the direction of the Global CCO and the Deputy CCO, the Regulatory and Compliance Counsel will direct and implement effective strategies and policies for managing compliance and regulatory risk while balancing the business interests of the Firm. Will proactively assist in identifying and containing compliance risk, foster a business oriented compliance function, help the organization embrace compliance necessities, and optimize relations with regulators. Along with the Deputy CCO, prepare and/or oversee the preparation of the Firm s regulatory reports including Form ADV Parts 1 and 2, Form 13F, Form 13H, 13F and other regulatory filings. Along with the Deputy CCO, oversee the Firm s fund subscription processes for the private equity funds and Vista s hedge fund Vista Public Strategies ( VPS ), including administration of the Firm s AML program for the private equity funds and VPS. Work with Global CCO and Deputy CCO/Counsel to conduct the Firm s annual compliance review, including working with the Firm s outside compliance consultants to review the Firm s compliance policies and procedures regarding allocations, trading, fee and expense allocations, etc. The annual review process includes performing periodic transactional and forensic tests to ensure compliance with the Firm s policies and procedures. Assist the Global CCO and Deputy CCO in managing the Firm s readiness for SEC exams and response to regulatory inquiries and requests. Prepare and deliver compliance training. Provide regulatory oversight and serve as day-to-day compliance lead for Vista s hedge fund, Vista Public Strategies: Lead the compliance efforts for VPS. Be fully responsible for all aspects of compliance including trade monitoring and surveillance, review of operating policies and procedures, compliance approvals of investment allocations, proxy voting, and best execution; Respond to time sensitive, compliance related inquiries from VPS operations and investment professionals. Monitor the flow of material non-public information ( MNPI ) within the Firm, perform testing to ensure all MNPI is reported to the Global CCO for inclusion on the Restricted List. Partner with VPS team members to identify and mitigate emerging compliance risks; implement compliance programs and policies to ensure compliance with relevant regulations, policies and procedures; Work with the Global CCO and Deputy CCO to review governing documents for new investment funds, oversee the acceptance of new limited partners into the funds by performing the compliance review of the subscription documents including overseeing AML procedures performed by Vista s fund administrator. Work with the third-party service providers to perform periodic checks to the various AML lists such as OFAC, etc. to ensure the Firm and its funds are following relevant AML regulations. Work with Investor Relations personnel to understand and comply with all regulatory requirements associated with marketing the fund outside of the U.S. including AIFMD. Work with the Deputy CCO and the Investor Relations, Finance, and Investment Teams in reviewing all written marketing materials for prospective and current limited partners, including marketing presentations, flip-books, and quarterly letters, DDQ s and other investor diligence materials for compliance with applicable laws and regulations.

The candidate should have Bachelor's degree and J.D. Bar member in good standing. Certified Compliance Professional is highly desired. Must have 2+ years of broad-based regulatory/compliance legal experience, within an international law firm and/or as in-house counsel supporting a U.S. registered investment adviser. Should have experience working with hedge funds including an understanding of trading operations, proxy voting rules, and best execution. Must have experience with an organization with AUM of $5 billion or more. Should have strong understanding of the Investment Advisers Act of 1940 and broader securities laws, including insider trading laws. Should have experience interpreting federal statutes, regulations, and state laws, and analyzing their impact on current policy and business practices. Must have experience reporting and communicating with senior leadership or investment firm partners/principals.
 
EMAIL TO COLLEAGUE  PERMALINK
This particular job is currently not active. However, since our clients regularly share with us similar and other job openings, we strongly recommend that you submit your resume. We shall review your resume and get in touch with you as soon as a suitable vacancy comes up to further discuss your interest in exploring the opportunity. Assisting you is our highest priority.

Please be assured that none of your materials will be forwarded to any employer without your consent. Of course, all inquiries are kept strictly confidential.
 
 

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