Director - Compliance
- Advise senior leadership on emerging regulatory risks, enforcement trends, and compliance implications for strategic initiatives
- Serve as a thought leader on compliance matters, including AI, cybersecurity and data privacy
- Oversee all aspects of the compliance program including onboarding and offboarding employees into the compliance system, and address employee questions around the Code of Ethics
- Maintain all records of compliance regarding pre-clearance approvals and marketing reviews
- Manage compliance operations related to marketing reviews, pre-clearance approvals and recordkeeping
- Coordinate with Investor Relations on global marketing compliance and licensing requirements
- Track and manage compliance with fund partnership agreements and investor side letter agreements
- Provide dedicated compliance support to the firm and partner with external regulatory advisers
- Lead preparation and response efforts for SEC audits and other regulatory inquiries
- Conduct the annual compliance review and back test different compliance policies; continually assess the compliance policies and procedures, and drive implementation of policy enhancements
- Collaborate closely with the Finance & Accounting teams on regulatory reporting requirements
- Leverage data analytics to identify trends, gaps and opportunities for program improvement
- Deep knowledge of the Advisers Act, insider trading, anti-money laundering laws, anti-bribery and corruption rules, and conflicts of interest
- Proven track record managing SEC audits and regulatory communications
- Fluency with the FINRA IARD system and SEC filings including Form ADV and Form PF
- Highly organized, proactive, solutions-oriented thinker, with a passion for compliance and helping a growing firm navigate evolving rules and regulations
- Strong communication, interpersonal, and collaboration skills
- 10+ years of advanced compliance experience at a financial services firm
- Expertise with the FINRA IARD system to input annual Form ADV and Form PF
- Knowledge with compliance monitoring systems, such as ComplySci and technology solutions
- Experience with private equity, fund management, and/or real estate strongly preferred
Recommended Jobs
Supplier Quality and QMS Specialist
At ABB, we help industries outrun - leaner and cleaner. Here, progress is an expectation - for you, your team, and the world. As a global market leader, we'll give you what you need to make it happen.…
Quality Investigator
Job Title: Quality Investigator Job Description The Quality Investigator will perform thorough, detailed, and timely investigations. This role involves developing collaborative relationships with oper…
Production Manager
Overview The Production Manager is a key player in the RMA industry responsible for overseeing the entire production process. They manage the production team and make sure everything runs smoothly…
Automation Project Engineer
Find the role that you've been looking for! This is a great opportunity to work with a global leader in industrial automation, known for delivering innovative and energy-efficient solutions that dr…
Client Solutions Consultant
About the Role This role is ideal for professionals who enjoy problem-solving and guiding clients through virtual discussions. Responsibilities Engage inbound client requests Le…
Unarmed Security Officer Charlotte NC (Charlotte)
We are seeking an Unarmed Security Guard Position to become an integral part of our security team in Charlotte North Carolina. NOW HIRING: SALARY: $18-$20 per Hour Second Shift 3pm-11p…
Lead, Project Engineer
L3Harris is dedicated to recruiting and developing high-performing talent who are passionate about what they do. Our employees are unified in a shared dedication to our customers' mission and quest fo…
Locum MD (Medical Doctor);DO (Osteopathic Doctor) Emergency Medicine (Nights)
Description This contract, on-site position offers a unique opportunity to provide critical care in a fast-paced environment, ensuring the health and safety of our community during the night hours…
Escape to Asheville: Your Healing Adventure Awaits!
RN Oncology job in Asheville, NC Embark on a healing adventure in Asheville, where breathtaking mountain views meet a vibrant arts scene! As a travel nurse in Hematology/Oncology, you'll enjoy exciti…
Remote Life Insurance Agent
At the Burk Agency, we understand military life—its uncertainties, frequent moves, and the vital need for peace of mind. Join a familiy owned, mission-driven team dedicated to protecting families, on…