Associate Director – Business Partner, Legal & Compliance Technology

This is a fully remote position, open to applicants in United States.

📋 Description

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

• Oversee daily platform operations, which include user provisioning, configuration, data retention policies, lexicon tuning, alert management, and coordination with vendors.

• Act as the primary liaison for compliance and legal teams regarding technology support, training, and troubleshooting of the platforms.

• Keep an inventory of legal & compliance tools, monitor contracts, renewals, and licensing, while identifying opportunities for consolidation or modernization.

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

• Assist the Firm in exploring and implementing AI-driven automation solutions aimed at streamlining manual processes and reducing costs within Legal & Compliance.

• Maintain a solid understanding of the regulatory landscape affecting registered investment advisers, private equity firms, and broker-dealers, including SEC, FINRA, and relevant state and international regulations.

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

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

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

• Monitor vendor regulatory compliance and certifications, ensuring that third-party platforms adhere to firm obligations.

• Stay current with Legal & Compliance and related technology industry standards and best practices through regular benchmarking with peers and active participation in industry events.

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

• Develop and manage project plans, timelines, resource requirements, and risk registers, keeping stakeholders updated through regular status reports.

• Coordinate cross-functional workstreams among Legal & Compliance, Information Security, and Technology to ensure smooth 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 relevant technologies, including legal expense management, fund formation and investor onboarding, anti-money laundering, privacy, regulatory reporting, and other legal and compliance workflows.

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

• Conduct UAT for system modifications, ensuring 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 rolled out to legal and compliance users.

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

• Work with the broader Information Technology team on prioritizing initiatives, planning delivery, and providing operational support.

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

⛳️ Requirements

• Over 10 years of experience in a business analyst, technology business partner, compliance operations, or technology support role within financial services, asset management, private equity, or a related regulated sector.

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

• Proven understanding of the regulatory landscape governing registered investment advisers and private equity firms, including SEC, FINRA, and pertinent state and international regulations.

• Strong knowledge of private equity or investment management, including familiarity with fund structures, deal lifecycle, investor reporting, and the operational requirements 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).

• Demonstrated project management abilities, including managing technology implementations from start to finish, with a skill for handling multiple concurrent workstreams while maintaining strong organizational skills and attention to detail.

• Proven capability 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; able to simplify complex regulatory or technical concepts for non-technical stakeholders, and communicate 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 exercise the utmost discretion and appropriately handle confidential, privileged, and sensitive information.

🏝️ Benefits

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