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.
- 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