VP, Investments Compliance Operations (open to remote)
$180,220–$268,400 year
Remote · New York City, New York, United States or Oklahoma City, Oklahoma, United States
Job Summary
As Vice President, Investments Compliance Operations, you will lead the operational execution of investment compliance across the enterprise, translating policies into executable controls, monitoring frameworks, and governance processes embedded throughout the investment lifecycle. You will direct and develop a team of managers and professionals, shape a scalable, technology-enabled Compliance Operations function, oversee guideline coding and governance, design a comprehensive control framework spanning pre- and post-trade activities, monitor breaches and remediation, provide enterprise reporting to leadership and committees, oversee third-party manager attestations, operationalize multi-jurisdictional compliance requirements, ensure sanctions and restricted party screening, and establish robust data governance with Technology and Data teams. You will partner with Legal, Risk, Portfolio Management, and Technology to maintain a rigorous control environment, support audits and regulatory examinations, and drive continuous improvement within a global investment platform. This role requires executive-level communication, leadership across cross-functional teams, and the ability to scale a high-scrutiny compliance operation in a multinational context. To explore this opportunity, you will join a Fortune 200 company focused on financial protection, with a commitment to AI-assisted screening in early selections and a broad compensation package including base pay between $180,220 and $268,400 annually plus bonus and equity opportunities.
Required Qualifications
- Bachelor's degree in Finance, Accounting, Economics, Law, or related field
- 12–15+ years of experience in investment compliance operations, investment operations controls, or regulatory oversight within asset management or insurance asset platforms
- Deep understanding of investment guidelines, trade lifecycle mechanics, and compliance monitoring systems — Aladdin experience preferred
- Experience operationalizing regulatory frameworks and dependency risks into executable controls
- Strong executive communication skills and cross-functional leadership capability
- Proven experience building or transforming compliance operating models, with a focus on cross-border investment activities, product distribution, and documentation
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