Compliance Director

Overview

• Lead compliance initiatives for an SEC-registered investment adviser, ensuring adherence to regulatory requirements and internal policies.
• Collaborate with global compliance teams to align practices and improve efficiency across operations.
• Develop and maintain compliance policies, procedures, and training programs for employees and business leaders.
• Oversee regulatory filings, including Form 13F, Form ADV, Form PF, and Form CPO-PQR.
• Support the launch and maintenance of funds by identifying risks and updating processes.
• Prepare materials for oversight committees and facilitate compliance annual review processes.
• Conduct compliance audits and reviews to ensure adherence to company policies and regulations.
• Provide guidance on compliance matters to employees and external constituents, including regulators.

Key Responsibilities & Duties

• Assist the Chief Compliance Officer in developing and monitoring the compliance program.
• Lead core compliance functions, including employee-related compliance, registration, and training.
• Collaborate on global compliance initiatives, such as trade surveillance and monitoring.
• Review marketing materials and client communications under tight deadlines.
• Support regulatory exams, inquiries, and audits to ensure compliance readiness.
• Conduct reviews to assess the effectiveness of compliance controls and processes.
• Prepare and review regulatory filings to ensure accuracy and timeliness.
• Facilitate compliance annual review processes alongside external consultants.

Job Requirements

• Bachelor’s degree in law, finance, business management, or a related field required.
• Minimum 5 years of experience in compliance roles at SEC-registered firms or hedge funds.
• Strong knowledge of SEC and NFA requirements and filings essential.
• Experience managing compliance programs and leading regulatory initiatives preferred.
• Exceptional analytical, critical thinking, and decision-making skills required.
• Proven ability to meet deadlines and prioritize tasks effectively.
• Strong communication skills to interface with internal and external stakeholders.
• Hybrid work arrangement offering flexibility and collaboration opportunities.