The Director, Compliance will work directly with the Chief Compliance Officer (CCO) and the Compliance Team to support the development, review, and production of processes, standards, policies, and guidelines, which are required to facilitate compliance with regulatory standards. The Director, Compliance will be responsible for managing several members of the Compliance Team.
- Responsible for the management of several compliance team staff members, including oversight and execution of responsibilities, performance management, and development.
- Assist the CCO in providing regulatory oversight, risk management, and forensic testing.
- Collaborate with internal teams regarding new business, marketing, operations, finance and technology to create and refine policies and procedures in areas such as best execution, due diligence, performance reporting, and advertising; keeping the compliance manual up to date.
- Identify risks and conflicts of interest related to the firm’s business model, work with business partners to assess risks and conflicts and develop related procedures and controls to mitigate them, recommend new disclosures and controls as appropriate and coordinate with business units to ensure implementation.
- Act as compliance liaison to internal committees.
- Oversee the compliance team’s data production for internal and external reviews of the compliance program.
- Educate and promote our compliance program to members of the firm.
- Stay up to date on all new regulations that impact the firm to ensure the business is compliant with new and existing regulations.
- Work closely with the various teams within the firm to provide analysis and resolution on compliance related matters.
- Lead compliance projects as required.
Necessary Skills and Qualifications
- Bachelor’s degree required
- 8+ years of compliance, middle/back office and/or internal audit experience at an asset management firm
- Private Fund experience
- Successful management and development of individuals and teams
- Working knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940
- Strong written and verbal communication skills with demonstrated ability to communicate effectively
- A results orientation with a strong sense of accountability
- A client service mentality (with both internal and external clients)
- Team player
- Strong research, analytical and critical thinking skills
- Ability to muli-task across a range of project with constantly shifting priorities
- Proficient in Microsoft Office, specifically Word, Excel, and PowerPoint
- Knowledge of Linedata’s Longview trading and compliance system and Advent’s APX accounting system a plus
Click here to apply.