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Vice President, Compliance


New York

Job description

Position: Vice President

Reports to: Chief Compliance Officer

About Wafra:

Wafra Inc. (“Wafra” or the “Firm”) is a leading global investment firm currently managing approximately $27 billion in assets and commitments across a variety of asset strategies. Behind our investment strategies are talented professionals, principally in New York and other financial centers, who bring expertise and experience to deliver strategic, reward-focused solutions. Wafra seeks to provide long-term investment return solutions that span not just years, but generations.

Position Description:

Wafra pursues excellence in all areas of its operations and activities; the Compliance Department (the “Department”) is no exception. The Department is currently comprised of four seasoned professionals with significant prior experience from other leading financial institutions who collectively make up a diverse, dynamic, “One Wafra” culture-carrying team. The Department seeks to serve as a strong line of defense for the Firm, providing advice on regulatory developments and industry best practices across multiple investment management-related disciplines. The Department places a strong emphasis on active engagement with all Firm stakeholders through regular and ad hoc trainings, and disciplined communication.

The preferred candidate must therefore be able to perform at a high level across the following criteria:

Duties and Responsibilities:

  • Support the broader Compliance Program, including general Code of Ethics oversight, rigorous policy review, training, testing and ongoing surveillance/monitoring
  • Review and revise external private fund marketing-related communications including, but not limited to, marketing materials, periodic investor reports and investor/consultant due diligence questionnaires
  • Collaborate with various departments within the Firm to gather information and review responses to various external inquiries (including regulatory and mock examinations) for completeness and accuracy
  • Perform other related duties and ad hoc projects as assigned


  • Bachelor’s degree or equivalent (JD/MBA a plus, but not required)
  • Minimum four years of compliance experience at an alternative investment firm
  • Ability to identify and escalate potential compliance risks, conflicts of interest and related disclosure considerations for alternative investment firms
  • Superb written and verbal communication skills with the ability to summarize and digest content quickly and clearly
  • Assertive, inquisitive and detail oriented with strong analytical and problem-solving skills, including the ability to spot issues and manage projects

Please send your resume to [email protected] with the subject line “Vice President”.

This description reflects management’s assignment of essential functions; it does not proscribe or restrict the tasks that may be assigned. Wafra Inc. is an equal opportunity employer.

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