Compliance Counsel

POSITION SUMMARY

Vista Equity Partners is seeking to hire a Compliance Counsel who will work with members of the Compliance Department to assist in all activities related to registered investment adviser compliance. Under the direction of the Chief Compliance Officer and Deputy Chief Compliance Officer & Counsel ("Deputy CCO"), this individual will proactively assist in identifying and containing compliance risk, foster a business-oriented compliance function, and help the organization embrace compliance.

 This role can be based in Oakland, CA or Austin, TX and is for an immediate start.

 

PRIMARY RESPONSIBILITIES

  • Assist with conducting the Firm's annual compliance review, including working with the Firm's outside compliance consultants to review the Firm's compliance policies and procedures regarding key risk areas. The annual review process includes performing periodic transactional and forensic testing to ensure compliance with the Firm's policies and procedures
  • Review marketing materials and investor communications to ensure compliance with Vista policy and governing laws and regulations; develop training materials and provide guidance to the Investor Relations and Marketing teams on fundraising and marketing activities.
  • Assist in review of subscription documents and performance of anti-money laundering (AML) procedures. Work with third-party service providers on ongoing monitoring of the Funds' investors to ensure the Firm and its funds are following relevant AML regulations.
  • Research regulatory and compliance issues such as privacy, non-US marketing restrictions, SEC Pay-to-Play Rule compliance, and other issues.
  • Perform compliance monitoring activities such as trade monitoring and email and social media surveillance.
  • Prepare and deliver compliance training.
  • Provide support with respect to SEC examinations and regulatory inquiries.

 

QUALIFICATIONS

  • Bachelor's Degree and J.D. Bar member in good standing.
  • At least 2+ years of broad-based regulatory/compliance legal experience, within an international law firm and/or as in-house counsel supporting a U.S. registered investment adviser.
  • Experience in private equity, credit, and/or hedge fund environments is highly desirable, either in a law firm or industry.
  • Ability to work in a fast-paced and dynamic environment with changing requirements.
  • Strong organizational, analytical, written, and verbal communication skills.
  • Excellent interpersonal skills and client service orientation.
  • Excellent time management, organization, and prioritization skills. Ability to own projects from start to finish with minimal guidance with great attention to detail.
  • Experience working with Excel, PowerPoint, and developing and maintaining various analyses and reporting tools. Experience with compliance monitoring software and systems highly desired.

 

ABOUT VISTA EQUITY PARTNERS

Vista Equity Partners is a U.S.-based investment firm with offices in Austin, Chicago, New York City, Oakland, and San Francisco with more than $50 billion in cumulative capital commitments. Vista exclusively invests in software, data, and technology-enabled organizations led by world-class management teams. As a value-added investor with a long-term perspective, Vista contributes professional expertise and multi-level support towards companies to realize their full potential. Vista's investment approach is anchored by a sizable long-term capital base, experience in structuring technology-oriented transactions, and proven management techniques that yield flexibility and opportunity.

 

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Technology we use

  • Sales & Marketing
    • SalesforceCRM
    • MarketoLead Gen

Location

Located in the Frost Bank Tower, our office has spectacular views of Lady Bird Lake and the Texas Capitol.

An Insider's view of Vista Consulting Group

What are some social events your company does?

As our team is growing so quickly, our full team has quarterly outings in different cities to rekindle connections with one another and to relax. We have done TopGolf, Escape Room, Happy Hours just to name a few. It is critical that we continually build that comradery and Vista family bond.

Eric Webb

Executive Director, Technology Diligence

What's the biggest problem your team is solving?

The VCG Customer Success team is focused on partnering with our Portfolio companies to create customer-centric teams that are aligned with the executive priorities of their customers. This alignment creates value for their customers, more impactful work for customer-facing roles, and ultimately enables Vista’s continued growth.

Ryan Richards

Director, Customer Success

How has your career grown since starting at the company?

I’ve been with Vista for 15 months and recently transitioned into a new role serving as product manager of our QuickStart application and providing technical oversight on BOSS engagements. This role didn’t initially exist, but we recognized a need and with my technical background, it was perfect to dive headfirst into it.

Ijeoma Ikechi

Associate Director, Business Applications

How do you empower your team to be more creative?

The #1 thing we do to unlock creativity on the team is hiring smart, passionate people with a strong sense of personal accountability. I find that if we do that well, and if we as management then spend our time training, enabling, and removing roadblocks, then every team member can be themselves and bring all their creative energy to bear.

Mark Ralls

Managing Director, Business Operations

What are Vista Consulting Group Perks + Benefits

Culture
Volunteer in local community
Partners with Nonprofits
Friends outside of work
Eat lunch together
Team owned deliverables
Team based strategic planning
Open office floor plan
Health Insurance & Wellness Benefits
Disability Insurance
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
Retirement & Stock Options Benefits
401(K)
401(K) Matching
Performance Bonus
Child Care & Parental Leave Benefits
Child Care Benefits
Generous Parental Leave
Flexible Work Schedule
Family Medical Leave
Return-to-work program post parental leave
Company sponsored family events
Vacation & Time Off Benefits
Unlimited Vacation Policy
Perks & Discounts
Commuter Benefits
Company Outings
Stocked Kitchen
Happy Hours
Parking
Relocation Assistance
Fitness Subsidies
Professional Development Benefits
Job Training & Conferences
Tuition Reimbursement
Lunch and learns
Promote from within
Mentorship program
Paid industry certifications
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