Reguatory Compliance, Director

  • Base salary, bonus and excellent benefits.
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 14 Dec 18

Our client, a well regarded investment management firm is seeking to add a talented Compliance professional to it's growing, best in class program. This position is responsible for implementing the compliance programs of investment advisers and registered investment companies pursuant to Rule 206(4)-7 of the Investment Advisers Act and Rule 38a-1 of the Investment Company Act of 1940 as well as other regulatory requirements.

Major Responsibilities/Activities:
 Conduct the annual compliance risk assessment and help identify potential conflicts and risk areas within business units
 Complete reviews, testing and monitoring of compliance policies and procedures
 Implement revisions to policies and procedures in response to testing results or changes in regulatory or company landscape and conduct training as necessary
 Investigate, resolve and document compliance-related issues, working with senior personnel throughout the firm and reporting to senior management and the funds’ board of directors
 Maintain and update the company’s Compliance Manuals
 Conduct due diligence on third party service providers including on-site meetings and reviews of internal control reports and applicable policies and procedures
 Administer the compliance oversight program for the intermediaries distributing the open-end funds
 Assist in administering the Code of Ethics and review of employee electronic communications
 Review RFPs, due diligence questionnaires and other client communications
 Lead or participate in compliance projects as assigned
Minimum Requirements:
 Bachelor’s degree and minimum of 5 years compliance experience
 Series 7 preferred or candidate must be willing to obtain license within 12 months of hire
 Solid understanding of regulatory/self-regulatory agencies (e.g., FINRA, CFTC, FCA) and the requirements of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
 Excellent writing, communication and presentation skills
 Well organized with the ability to manage multiple projects
 High attention to detail, including the ability to maintain orderly documentation and track issues/recommendations
 Proficient in Microsoft Office; experience with PTA and Global Relay is a plus
 Team player, with the ability to partner with colleagues