Investment Advisor

Compliance Director , New York, NY

Compliance Director (New York, NY): Our client a multi-billion-dollar investment advisor is seeking a Compliance Director to join their private equity focused investment firm. The new hire should be capable and eager to work in an environment with limited supervision, as this role will have principal responsibility of the firm’s day-to-day compliance activity. This position will be reporting directly to the Chief Compliance Officer. The candidate will be responsible for managing robust risk identification and compliance testing programs including investigating causes of unusual activities that can be indicative of compliance problems and executing email and other compliance surveillance activities; compliance monitoring and testing related to Rule 206(4)-7; SEC and other regulatory filings; identifying risks and facilitating their mitigation to acceptable levels; and participating actively in regulatory requirements. S/he will also support management in achieving business objectives while managing regulatory, compliance, legal and reputational risk; providing situational and ongoing advice to senior management; coordinating with the business to ensure effective controls are in place to meet applicable, federal, state and international legal and regulatory requirements; liaising with finance and investor reporting functions; and facilitating the implementation of new regulatory requirements.  The ideal candidate will have a minimum of 3 years of investment advisor regulatory compliance experience with the ability to read, interpret, comprehend and explain complex subjects including applicable regulations. This person must possess strong interpersonal skills; experience with private investment funds preferred and knowledge of investment strategies and operations are preferred. This is great opportunity for someone who demonstrates strong project management skills that can work both independently and within a team. 

facebook twitter linkedin

Designed by Tradical360, an SEO Company in New York, NY