Legal Compliance Manager

*1-2 days a week in office*

Voy is partnering with a rapidly growing multi-strategy investment fund that manages over $10B in assets across direct funds, FoFs and private credit funds. With a fundraise in the works and ambitious growth plans for 2024/25, the team needs a Compliance Manager who can ensure the firm follows all relevant laws and regulations, especially those related to SEC and Fund Compliance activities.

This position offers a unique opportunity to play a foundational role in developing and implementing our forward-thinking compliance strategy. As we grow and evolve, you will work both independently and collaboratively with other members of the Legal and Compliance team and the broader company to navigate complex sets of rules, regulations, business partner requirements, and industry best practices. Beyond SEC compliance, this role involves various other parts of our compliance framework, including program design and administration, paralegal work, regulatory reporting, surveillance, internal controls testing, policy development, and special projects.

The ideal candidate will enjoy finding creative compliance solutions and working quickly, often in the face of ambiguity and without significant day-to-day guidance.

Key Responsibilities:

• Act as the compliance relationship manager for all SEC-related initiatives and programs.
• Lead and support compliance audits, examinations, and related service providers.
• Administer various U.S. and non-U.S. compliance tasks, including AML/KYC and California lending law programs.
• Maintain the compliance calendar and exception documentation.
• Develop scalable solutions to mitigate compliance risks and adapt to regulatory or business changes.
• Coordinate with other teams.
• Provide expertise on SEC, AML/KYC, and other compliance matters to internal and external stakeholders.
• Develop and maintain compliance program infrastructure, including manuals, policies, procedures, and playbooks.
• Deploy targeted compliance training.
• Monitor regulatory actions and changes impacting the compliance program.
• Perform audits, reviews, and quality assurance checks.
• Review contracts, organize documentation, and manage special projects.

Qualifications:

• 5 to 10+ years working in SEC Compliance for a Registered Investment Advisor with private funds.
• Experience at an RIA is required
• Familiarity with various AML regulations and compliance areas, including American, Cayman, European, and Asian AML regimes.
• Experience managing or supporting compliance consultants.
• Ability to own a process from end to end with minimal supervision.
• Ability to work cross-functionally and collaboratively with internal and external stakeholders.
• Curiosity about new regulations and technologies.
• Hybrid work environment, with the ability to work 1-2 days/week

How We Will Support You:

• Benefits to support your health, finances, and well-being.
• 5% 401(k) company match with immediate vesting.
• Flexible/hybrid schedules with flexible paid time off.
• 18 company-paid holidays.
• Parental leave.
• Home office support.
• Annual bonus plan.
• Opportunities for professional growth and development.
• Collaborative and dynamic work environment.