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Compliance Vice President

Madison-Davis
  • Houston, TX
  • Instant Apply
26 days ago

Job Description


An alternative investment manager is seeking an experienced Vice President of Compliance to support its broader investment adviser compliance program, with particular responsibility for CFTC and NFA regulatory matters, commodity interests, and derivatives.

This is a hands-on role for someone who can independently interpret complex regulatory requirements, advise investment and business teams, manage regulatory filings, and help maintain an effective compliance framework.

RESPONSIBILITIES
  • Serve as a subject-matter resource on CFTC regulations and NFA requirements applicable to investment funds, accounts, and trading activities.
  • Evaluate CPO and CTA registration requirements, exemptions, and exclusions and maintain related documentation and filings.
  • Prepare and coordinate regulatory filings, notices, annual affirmations, questionnaires, and reports, including Form CPO-PQR and Form CTA-PR, where applicable.
  • Monitor compliance obligations involving disclosure, reporting, recordkeeping, marketing, supervision, and investor eligibility.
  • Review new funds, investment strategies, instruments, accounts, and counterparties to identify potential commodity interest and derivatives-related regulatory requirements.
  • Provide compliance guidance regarding futures, options on futures, swaps, and other derivatives products.
  • Monitor regulatory developments and translate new or changing requirements into practical updates to policies, procedures, disclosures, controls, and business practices.
  • Partner with investment, legal, operations, finance, investor relations, and external service providers to address compliance matters and ensure timely and accurate regulatory submissions.
  • Support compliance risk assessments, annual reviews, monitoring, surveillance, and testing, including documenting findings and remediation.
  • Assist with regulatory examinations and inquiries by coordinating documentation, responses, and follow-up activities.
  • Support broader SEC investment adviser compliance requirements, including areas where SEC and CFTC/NFA obligations intersect.
  • Oversee or support Code of Ethics activities, including personal trading monitoring and related compliance reporting.
  • Maintain regulatory calendars and assist with compliance training for investment and business teams.
  • Provide practical day-to-day regulatory guidance to investment professionals and senior management.

QUALIFICATIONS
  • 5+ years of relevant compliance or legal experience within investment management, commodities, derivatives, or financial services.
  • Meaningful hands-on experience interpreting and applying CFTC regulations and NFA rules.
  • Experience may come from an asset manager, CPO/CTA, broker-dealer, FCM, swap dealer, law firm, consulting firm, or regulatory organization.
  • Strong understanding of commodity interests and derivatives, including futures, options on futures, and swaps.
  • Experience with CPO/CTA registrations, exemptions or exclusions, NFA filings, and ongoing regulatory obligations.
  • Familiarity with CPO-PQR and CTA-PR reporting is strongly preferred.
  • Knowledge of the Investment Advisers Act of 1940 and SEC-registered investment adviser requirements is preferred.
  • Experience with regulatory examinations, compliance testing, policy development, or regulatory change management is beneficial.
  • Bachelor s degree required;JD, compliance certification, or another relevant advanced credential is a plus.
  • Strong analytical judgment with the ability to translate technical regulations into clear, practical guidance.
  • Excellent written and verbal communication skills with the ability to work effectively with investment professionals and senior leadership.
  • Highly organized and capable of independently managing multiple regulatory deadlines and priorities.
  • Strong integrity, discretion, attention to detail, and professional judgment.
  • Proficiency with Excel and Microsoft Office;experience with compliance systems and regulatory filing platforms is a plus.

Numbers & Facts

LocationHouston, TX

Skills

  • Analysis Skillsunmatched
  • Asset Managementunmatched
  • Brokerageunmatched
  • Business Practicesunmatched
  • Calendar Managementunmatched
  • Change Managementunmatched
  • Communication Skillsunmatched
  • Consultingunmatched
  • Derivativesunmatched
  • Detail Orientedunmatched
  • Documentationunmatched
  • Financeunmatched
  • Financial Servicesunmatched
  • Futuresunmatched
  • Interpret Regulationsunmatched
  • Investment Fundsunmatched
  • Investment Managementunmatched
  • Investment Servicesunmatched
  • Investment Strategyunmatched
  • Investor Relationsunmatched
  • Leadershipunmatched
  • Legalunmatched
  • Maintain Complianceunmatched
  • Marketingunmatched
  • Microsoft Excelunmatched
  • Microsoft Officeunmatched
  • Monitor Regulationsunmatched
  • Organizational Skillsunmatched
  • Policy Developmentunmatched
  • Presentation/Verbal Skillsunmatched
  • Public/Media/Press/Analyst Relationsunmatched
  • Registered Investment Advisor (RIA)unmatched
  • Regulationsunmatched
  • Regulatory Complianceunmatched
  • Regulatory Requirementsunmatched
  • Regulatory Submissionsunmatched
  • Risk Analysisunmatched
  • Securities and Exchange Commission (SEC)unmatched
  • Surveillanceunmatched
  • Swap Marketunmatched
  • Test Plan/Scheduleunmatched
  • Time Managementunmatched
  • Writing Skillsunmatched

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