Our client, an Investment Manager, is seeking a Director of Compliance to join its compliance and Legal Group in New York. This position will report directly to the Deputy CCO and work with a highly collaborative legal and compliance team and other business groups (particularly Operations, Investor Relations, Fund Accounting, Trading and IT). The candidate will work on a variety of compliance-related matters involving the firm's private funds business and SMA clients and he/she will have exposure to all areas of the compliance program.
The individual will be involved with all compliance functions within the team, including team management matters. Primary responsibilities will include but not be limited to developing and implementing policies and procedures; driving key compliance initiatives and leveraging technology; performing forensic testing to assess the adequacy and effectiveness of the firm's policies and procedures; participating in risk assessment analyses and documentation; drafting periodic and annual reports documenting compliance reviews; developing and maintaining a compliance calendar; preparing and reviewing regulatory filings; reviewing and approving marketing materials; participating in due diligence/oversight reviews of the firm's service providers; assisting the GC & CCO and Deputy CCO in preparing and responding to regulatory inquiries and examinations, as needed; and collaborating with the Deputy CCO in preparing and conducting internal compliance training programs.
- The ideal candidate will have 6+ years of SEC focused compliance experience in a fast-paced environment, preferably at a hedge fund, compliance consulting firm or advisory practice with substantial knowledge of the relevant rules and regulations and the day-to-day compliance affairs of private funds;
- The candidate must have strong working knowledge and a solid understanding of the Advisers Act (CPO & CTA rules and regulations would also be desirable) as well as the ability to manage multiple deadlines;
- Strong technical skills, work ethic, sharp intellect, and experience to understand difficult, complex compliance and business problems;
- Prioritization, perspective and ability to focus on critical tasks that add value.
To learn more about this opportunity and others like it please email or call Ben Ellison on +1 646-766-1212.