Senior Compliance Officer - Delaware Investments

  • Competitive
  • Philadelphia, PA, USA
  • Permanent, Full time
  • Delaware Investments
  • 25 Sep 16

Senior Compliance Officer - Delaware Investments

Exciting compliance career growth opportunity at the center of a rapidly growing global asset management firm with over $165 billion in assets under management. Position will work with a high degree of autonomy under the general direction of the Deputy Chief Compliance Officer. The Compliance Department has primary compliance responsibility for all of the firm's investment advisory and distribution activities. This includes oversight of the annual reviews and testing of controls and procedures as required by Rules 38a-1 and 206(4)-7 as well as FINRA Rule 3120.

Assigned areas of responsibility may be related to investment advisory or broker-dealer functions compliance. This position reports to the Deputy Chief Compliance Officer.

Key responsibilities

  • Day-to-day management of assigned functions within the compliance department (e.g. adviser oversight, advertising and marketing materials review, or account investment guidelines or company policy management such as code of ethics)
  • Lead a team of compliance analysts by setting priorities, assigning and reviewing work
  • Assist in development of global asset management compliance platform including asset management functions in jurisdictions such as Australia, European Union, and Hong Kong
  • Evaluate the performance of assigned staff, including formal and informal performance appraisals
  • Identify and facilitate training and development opportunities for assigned staff
  • Maintenance of compliance policies and procedures - ensuring that they are complete and accurate and coordinating and participating in the review and testing of relevant compliance policies necessary to conduct required annual reviews
  • Represent the compliance department across the firm, especially with respect to the areas supervised
  • Coordinate and participate in projects of various complexity, including managing teams of assigned staff on routine and ad hoc projects
  • Other duties and tasks as assigned


Position requirements

  • Minimum of 5-7 years experience in an investment advisory and/or broker-dealer firm, with emphasis on leading compliance functions, particularly those related to specific areas (e.g. marketing review, advisory compliance programs)
  • BA/BS degree required
  • Demonstrated ability to prioritize and manage multiple assignments at once
  • Ability to work independently and as part of a high-functioning team
  • Ability to communicate effectively orally and in writing
  • Experience managing and leading a team of professionals in a broad range of responsibilities
  • Experience with staff development, including setting employee goals and objectives and evaluating performance
  • FINRA series 7 and 24 licenses, or willingness and ability to obtain
  • Proficiency with Microsoft Office applications


Delaware Investments is an Equal Opportunity employer that promotes workforce diversity and hires without regard to race, sex (including pregnancy), religion, color or national origin, age, disability, sexual orientation, gender identity, veteran's status or other protected status.

Delaware Investments, a member of Macquarie Group, is the marketing name for Delaware Management Holdings, Inc. and its subsidiaries, including the Fund's distributor, Delaware Distributors, L.P. Macquarie Group refers to Macquarie Group Limited and its subsidiaries and affiliates worldwide.

Advertised: 08 Dec 2015 Eastern Standard Time
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