Asset Management Compliance Director

Overview

• Lead compliance initiatives for SEC-registered investment advisers, ensuring adherence to regulatory standards and internal policies.
• Develop and maintain compliance programs, policies, and procedures aligned with industry regulations and best practices.
• Collaborate with global compliance teams to ensure consistency in compliance strategies and practices.
• Provide guidance to business leaders and employees on compliance-related matters and regulatory requirements.
• Prepare and review regulatory filings, including Form 13F, Form ADVs, Form PFs, and Form CPO-PQR.
• Support regulatory exams, inquiries, audits, and conduct periodic reviews to assess compliance controls.
• Oversee compliance functions related to employee activities, training, and registration processes.
• Facilitate annual compliance reviews and prepare materials for oversight committees.
• Identify and mitigate compliance risks associated with new fund launches and ongoing fund maintenance.

Key Responsibilities & Duties

• Assist the Chief Compliance Officer in developing and monitoring compliance programs for SEC-registered investment advisers.
• Lead core compliance functions, including employee-related compliance, personal trading, and conflicts of interest.
• Develop, implement, and maintain policies and procedures aligned with regulatory requirements.
• Collaborate with global compliance teams to ensure alignment of initiatives and best practices.
• Prepare and review regulatory filings, including SEC and NFA forms.
• Support regulatory exams, inquiries, and audits, ensuring compliance controls are effective.
• Review marketing materials and client communications under tight deadlines.
• Conduct compliance audits and business process reviews to ensure adherence to rules and policies.
• Prepare materials for oversight committees, including best execution and valuation.

Job Requirements

• Bachelor’s degree in law, finance, business management, or a related field.
• Minimum of 5 years of experience in compliance roles within SEC-registered investment advisers or hedge funds.
• Strong knowledge of SEC and NFA requirements and filings.
• Experience managing or overseeing compliance programs effectively.
• Excellent time management and prioritization skills to meet deadlines.
• Ability to consult and collaborate with individuals at all organizational levels.
• Strong analytical, critical thinking, and decision-making skills.
• Proficiency in preparing regulatory filings and supporting audits and inquiries.
• Exceptional verbal and written communication skills.