Director, Investments Compliance

Director Investments Compliance

Responsibilities :

Assist the Chief Compliance Officer in developing and managing investment adviser compliance programs and ensuring compliance with all applicable laws, regulations and industry best practices. Act as a strategic advisor and subject-matter expert to business partners (investment teams, product development, legal, operations, distribution) in support of new business initiatives and / or new products. Promote a compliance-oriented culture within investment and product functions : act as a trusted advisor, drive awareness of compliance obligations, assist the business in integrating compliance viewpoint early in product and business development, and foster a proactive control mindset rather than reactive issue resolution.

Qualifications :

Bachelor's degree; MBA preferred. Minimum of 15 years of experience in a compliance role in the asset management industry, with a focus on the Investment Advisers Act. Alternatives experience a plus. Excellent oral and written communication; comfortable presenting to clients, senior executives and regulators. Ability to independently analyze complex regulatory and business issues, propose pragmatic solutions, and drive timely execution.

Salary : $127,000 to $211,500 yearly