Director Of Compliance

New York, NY

Job Reference #1849

Our client, a growing investment management firm, is seeking an experienced and motivated Director of Compliance to join their compliance team.  This position will work directly with the General Counsel/Chief Compliance Officer.

Key Points

  • Opportunity to take ownership of compliance program and track to become CCO
  • Firm has had a successful track record, high performance, and an oversubscribed demand to invest in their funds
  • High value is put on collaboration and hiring respectful people (‘no jerks policy’)
  • Flexible work environment and competitive compensation with carry


  • Develop and implement firm-wide compliance policies and procedures
  • Coordinate and supervise compliance testing, regular reporting requirements and regulatory exams
  • Proactively identify regulatory risks
  • Monitor the firm’s investment activity to ensure compliance
  • Collaborate with the GC/CCO to continually improve the compliance program
  • Revise and update policies and procedures as needed
  • Observe current compliance and regulatory trends and adjust for the firm as necessary


  • Bachelor’s degree required; JD a plus
  • 7-10+ years of relevant legal and compliance experience
  • Strong understanding of the investment management industry and regulatory requirements 
  • The ability to inform and influence decisions at senior levels with a solutions-oriented mindset.
  • A proactive, thoughtful learner who can work independently and as part of a team in a fast-paced environment handling new projects and responsibilities with an ownership mentality in their work.

Compensation: $200k – $250k Base