Associate Director – Business Partner, Legal & Compliance Technology

📋 Description

• Take ownership of and manage Vista’s compliance and legal technology platforms, encompassing communications surveillance (Behavox), electronic communications archival (Global Relay), policy management, and regulatory reporting tools.

• Oversee daily platform operations, including user provisioning, configuration, data retention policies, lexicon tuning, alert management, and vendor coordination.

• Act as the main point of contact for compliance and legal teams regarding technology support, training, and platform troubleshooting.

• Maintain an inventory of legal & compliance tools, track contracts, renewals, and licensing, and identify opportunities for consolidation or modernization.

• Collaborate with technology teams to integrate legal & compliance platforms with core infrastructure (e.g., Salesforce, Snowflake, data lake, identity management systems).

• Assist the Firm in exploring and implementing AI-driven automation solutions that streamline manual processes and minimize costs within Legal & Compliance.

• Keep abreast of the regulatory landscape that affects registered investment advisers, private equity firms, and broker-dealers, including SEC, FINRA, and applicable state and international regulations.

• Convert evolving regulatory requirements into necessary system configuration changes, new platform functionalities, and enhancements in data retention or reporting.

• Ensure that technology implementations and system modifications comply with audit, recordkeeping, and compliance obligations prior to deployment.

• Support regulatory examinations and audits by providing technology-related documentation, data extracts, and system narratives as required.

• Monitor vendor regulatory compliance and certifications, ensuring third-party platforms align with firm obligations.

• Stay updated on Legal & Compliance and related technology industry standards and best practices through regular peer benchmarking and active involvement in industry events.

• Lead or assist in technology projects from inception to delivery, including new platform implementations, system migrations, and significant enhancements.

• Develop and oversee project plans, timelines, resource needs, and risk registers, ensuring stakeholders receive regular status updates.

• Coordinate cross-functional initiatives involving Legal & Compliance, Information Security, and Technology for seamless execution.

• Manage vendor relationships and ensure third-party providers meet delivery milestones, SLAs, and contractual obligations.

• Gather, document, and prioritize business requirements from legal and compliance stakeholders, converting them into user stories, process maps, and functional specifications.

• Understand L&C workflows and available technologies, including legal expense management, fund formation and investor onboarding, anti-money laundering, privacy, regulatory reporting, control room management, and other legal and compliance workflows.

• Identify workflow gaps, manual processes, and inefficiencies across the legal & compliance technology stack, partnering with technology to enhance or automate them using AI and automation software.

• Conduct UAT for system changes to ensure solutions meet business and regulatory requirements before deployment.

• Track and report on KPIs for the legal & compliance technology stack—including alert volumes, false-positive rates, archival completeness, and review turnaround times—proactively flagging issues.

• Support change management, documentation, and training as new tools and capabilities are introduced to legal and compliance users.

• Cultivate trusted working relationships with senior stakeholders across Legal & Compliance, Information Security, and Operations, collaborating with L&C partners such as CAPS, Finance, and Investor Servicing.

• Partner with the broader Information Technology team on initiative prioritization, delivery planning, and operational support.

• Communicate proactively with stakeholders regarding project status, emerging risks, regulatory changes with technology implications, and forthcoming system changes.

⛳️ Requirements

• Over 10 years of experience in roles such as business analyst, technology business partner, compliance operations, or technology support within financial services, asset management, private equity, or a similarly regulated industry.

• Practical experience with communications surveillance and electronic communications archival systems (Behavox and Global Relay are strongly preferred).

• In-depth understanding of the regulatory environment governing registered investment advisers and private equity firms, including SEC, FINRA, and applicable state and international regulations.

• Strong knowledge of private equity or investment management, including familiarity with fund structures, deal lifecycle, investor reporting, and the operational needs of legal and compliance functions within an alternative asset manager.

• Experience with CRM platforms (preferably Salesforce), compliance case management systems, and reporting or analytics tools (e.g., PowerBI, Sigma, or Excel).

• Proven project management capabilities, including the management of technology implementations from start to finish, with the ability to handle multiple concurrent workstreams while demonstrating strong organizational skills and attention to detail.

• Demonstrated ability to gather business requirements, document user stories or functional specifications, and support technology delivery in a compliance or legal context.

• Excellent verbal and written communication skills; capable of simplifying complex regulatory or technical concepts for non-technical stakeholders and communicating with precision and discretion on sensitive matters.

• Bachelor's degree in information systems, business administration, finance, legal studies, or a related field, or equivalent work experience.

• Familiarity with data privacy frameworks (e.g., GDPR, CCPA) and information security concepts as they pertain to compliance technology is a significant advantage.

• Ability to maintain the highest level of discretion and appropriately handle confidential, privileged, and sensitive information.

🏝️ Benefits

• Additional components may include an annual cash bonus and a comprehensive benefits package.