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Vice President, Compliance


New York

Job description

Position: Vice President, Compliance Department

Reports to: Chief Compliance Officer

About Wafra:

Wafra Inc. (“Wafra” or the “Firm”) is a leading global investment firm currently managing approximately $32 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.

Department/Position Summary:

Wafra pursues excellence in all areas of its operations and activities; the Compliance Department (the “Department”) is no exception. The Department is comprised of seasoned professionals with significant prior experience from other leading financial institutions. 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, conflicts review, training, testing and ongoing surveillance/monitoring
  • Assist in the review of private fund marketing-related communications including, but not limited to, marketing materials, periodic 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
  • Strong sense of collegiality and proven ability to work effectively with multiple constituencies
  • Superb written and verbal communication skills with the ability to summarize and digest content quickly and clearly
  • Strong problem-solving skills, including the ability to spot issues and manage/co-manage substantive projects
  • Solutions oriented by bringing knowledge and imagination to addressing new challenges arising from new business activities, regulations or otherwise
  • Able to foster comradery and trust within the Compliance Department and with all other Firm stakeholders
  • Engages with enthusiasm and is eager to be a part of a dynamic, diverse, culture-carrying team

Wafra and its subsidiaries (the “Company”) require that new hires be fully vaccinated against the COVID-19 virus, except those individuals who qualify for a medical or a religious accommodation under applicable law. All duties and responsibilities of this role are expected to be conducted on-site at the Company offices.

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

This description reflects management’s assignment of essential functions; it does not proscribe or restrict the tasks that may be assigned.

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