Director of Compliance - Investment Management Firm

Responsibilities:

·  Serve as Director of Compliance for enterprise.

·  Oversee the compliance duties of Compliance officers at other office locations of the Firm.

·  Responsible for compliance with the SEC and the DOL, as well as any other agencies requiring compliance.

·  Identify and monitor key business risks incurred by the Firm. These could include financial risks (for example, financial policies), personnel risks (for example, succession planning) and investment risks (for example, aggregate counterparty exposures)

·  Maintain the firms Compliance Manuel

·  Review and update existing policies and procedures

·  Outline and draft new policies and procedures as necessary

·  Create protocols for policies and procedures checks/tests/ exams

·  Monitor employee compliance and perform internal compliance tests

·  Review and monitor personal securities trading.

·  Maintain records of policy changes, violations and other compliance required records

·  Report to and advise the Firm's CEO and CFO on compliance program and compliance matters

·  Regularly update performance disclosures and assist with annual performance audit

·  Perform audit/mock SEC exam

·  Prepare firm's annual compliance assessment and review under Rule 206(4)-7 of the

·  Investment Advisors Act

·  Address firm trading issues (e.g., errors, pricing, allocation, etc.) as needed

·  Review Firm Advertising (e.g., presentations, newsletters, RFP's, consultant questionnaires and databases)

 

Qualifications:

·  Minimum 3-4 years experience, preferably 5-7 years, working at an investment firm in Compliance, or with a regulatory agency,

·  Bachelor's degree required; MBA, JD or CFA helpful,

·  Strong analytical skills.

·  Superior computer skills and proficient in Microsoft Office,

·  Insightful interviewer, both face-to-face and on the phone,

·  Poise and maturity to work directly with upper level executives,

·  Organized in planning, completing and documenting work.

·  Excellent oral and written communication and interpersonal skills.

·  Ability to work with others to mutually agree upon sound compliance practices, procedures and supervision.

·  Good common sense and practical approach to problem solving.

·  Ability to think creatively and abstractly to find new ways to accomplish goals.

·  Ability to work independently.

·  Critical thinker with strong organization, multi-tasking and prioritization skills

·  Ability to translate theory/rule into realistic and useful business practice

·  Leadership qualities characterized by strong communication skills and the ability to develop alternative courses of action and persuading others to support

 

Compensation:  Excellent pay, benefits and working conditions.