Job Details

Compliance Director

About the Company

Accomplished asset management company

Industry
Financial Services

Type
Privately Held

About the Role

We are looking for a seasoned Compliance Director to lead our SEC compliance program and be a pivotal part of our global compliance framework. In this vital role, you will oversee policy implementation, conduct annual compliance reviews, and ensure any identified issues are swiftly addressed. As the primary compliance contact, you will manage regulatory interactions with the SEC and maintain our compliance calendar.

Your responsibilities will also include conducting training on the Advisers Act Code of Ethics, managing relationships with outside counsel and compliance vendors, and supporting firmwide compliance initiatives. We seek applicants with a Bachelor's degree; a JD is desirable. You must have deep expertise in the Investment Advisers Act of 1940 as it pertains to Registered Investment Advisors, and experience in private equity or hedge funds is beneficial. Candidates should be well-versed in SEC examinations and mock audits and should be open to periodic travel, both domestically and internationally.

The ideal candidate will be a proactive, team-oriented professional who values a consensus-driven approach and is committed to collaborating with global team members to uphold our compliance standards.

Hiring Manager Title
Global Head of Risk and Compliance

Travel Percent
Less than 10%

Functions

• Finance