Our client, a high-performing international investment management firm, is seeking a motivated Director of Compliance to join their team. This is a unique opportunity to join an $8B+ fund, in a true generalist position, working in a #2 capacity within the NYC office. This team is collaborative, cohesive, and supportive. Firmwide, the team is in the office 5 days/week so any interested party should be comfortable in an in-office environment.
Key Points
- The positive energy permeates the office – ‘this is a place where someone can come and be happy’
- Firm culture around compliance is outstanding – the CIO loves partnering with compliance and people respect and value this team’s work
- Management takes everyone’s careers seriously – they sit down to discuss career trajectories with new hires and throughout people’s tenure with the team
- Company is growing and successful – phenomenal opportunity to join a thriving business
Responsibilities
- Lead the team in preparation for regular compliance reviews, exams and certifications
- Oversee the review of marketing materials and other communications to ensure compliance
- Assist in administering the Code of Ethics to all employees; Monitor employee compliance and assist with employee compliance training
- Manage and submit regulatory filings
- Oversee the due diligence process for outside service providers
- Manage pre and post trade reviews
- Monitor for changes in industry requirements and adjust the compliance program as necessary
Qualifications
- Bachelor’s degree and at least 5 years of relevant compliance experience in the investment management industry
- Working knowledge of US and UK industry regulatory requirements; Experience with FA, CFTC, FCA and exchanges
- High attention to detail, strong organizational skills and the ability to excel in a fast-paced work environment
- Ability to work and effectively communicate with a team
- Dedicated, pro-active, problem-solving mindset
Compensation: $140-$200K base