Vice President, Compliance - NY

As a Vice President, Compliance at Jordan Park, your primary responsibilities will include managing marketing compliance policies, overseeing regulatory filings, and providing compliance training to firm employees. You'll also ensure compliance with the firm's various policies regarding conflicts of interest, privacy standards, and risk management as they relate to our private funds and investment activities.

To qualify for the Vice President, Compliance position at Jordan Park, candidates should have at least 8 years of experience in compliance within financial services, particularly 4 to 5 years at a private fund adviser. A bachelor’s degree is essential, and having a J.D. or a strong understanding of the SEC’s Investment Advisers Act of 1940 will also give you an advantage.

The Compliance team at Jordan Park plays a pivotal role in supporting various business functions by ensuring that compliance requirements are met in areas such as marketing, investment activities, and regulatory filings. This collaboration ensures that all departments operate within legal bounds while adeptly serving our clients' needs.

Jordan Park fosters a collaborative and respectful work culture defined by a commitment to integrity and service. As a Vice President, Compliance, you'll work in an environment that encourages empathy, attention to detail, and camaraderie among professionals who share the mission of enhancing lives and legacies.

Jordan Park is committed to the professional growth of its employees, offering a generous annual professional development stipend. This initiative encourages the Vice President, Compliance, and all team members to pursue learning opportunities that align with their career goals in compliance and financial advisory.

To ensure compliance in marketing practices, I prioritize developing clear policies and procedures, providing comprehensive training to staff, and actively engaging in the review process. I also maintain open lines of communication with the marketing and investor relations teams to promptly address any compliance-related concerns.

Staying current with regulatory changes is crucial in compliance. I regularly review updates from the SEC and industry publications, participate in relevant webinars and conferences, and engage with compliance professional groups to ensure that I am informed and prepared to adapt our policies accordingly.

In my previous roles, I regularly managed various regulatory filings like Form ADV and Form PF. I ensured that all information was accurate, timely submitted, and in line with regulatory standards, facilitating a seamless review process and minimizing compliance risks for the firm.

Addressing conflicts of interest requires transparency and effective policy implementation. I focus on establishing strong policies that outline acceptable practices and ensure regular training for all employees so that they can identify and manage potential conflicts before they escalate.

I employ a mix of engaging training methods such as interactive workshops, detailed guides, and real-life scenario discussions. This varied approach helps retain employee interest and makes compliance concepts more relatable and easier to comprehend, fostering a culture of compliance throughout the firm.

I prioritize open communication and regular feedback within the team. By establishing a collaborative environment, I encourage my peers to share insights and challenges, which fosters a culture of support and creates more effective compliance processes that benefit the entire organization.

A successful compliance leader should demonstrate integrity, attention to detail, and the ability to communicate effectively with diverse stakeholders. Additionally, possessing a proactive approach to problem-solving and a willingness to adapt and embrace new technology for compliance processes are also essential qualities.

Managing sensitive information requires strict adherence to data protection protocols. I ensure that only authorized personnel have access to such information and consistently enforce confidentiality agreements while providing necessary training to all employees on proper handling procedures.

I have leveraged various compliance technology tools to streamline processes, such as monitoring employee communications and managing regulatory filings. Utilizing technology allows for greater accuracy and efficiency in compliance tasks, enabling my team to concentrate on more strategic compliance initiatives.

Upon discovering a compliance violation, my first step would be to assess the situation and gather all relevant information. I would then report the findings to the necessary stakeholders while developing a remediation plan to address the issue, ensuring thorough documentation and transparency throughout the entire process.