Director of Compliance

Location: Midtown Manhattan (3 days/week onsite)

Comp: $250K-$300K all in.

Our client, a $30 billion AUM dually registered investment advisor and broker dealer is looking for a Director of Compliance to act as a #2 to the CCO.

Responsibilities:

• Work in close coordination with the Firm’s Chief Compliance Officer and other members of the Firm’s Legal & Compliance Department and Business Supervision team
• Assisting with development and implementation of the Firm’s compliance program, including drafting and updating policies and procedures
• Conducting surveillance of investments (including for insider trading, anti-money laundering and market manipulation) and personnel activities (including for Code of Ethics, personal trading, registrations and licensing, and special supervisory issues)
• Compliance monitoring, testing and reporting for FINRA and SEC annual review purposes
• Managing relationships with external compliance resources
• Employee training
• Assisting with regulatory reporting and regulatory filings and related oversight, and other day-to-day compliance functions.
• This role offers the opportunity to interact with the Firm’s portfolio managers and support the executive leadership team in connection with a wide variety of compliance, regulatory, and risk-management issues.

Requirements:

• Bachelor’s degree required
• Minimum of 10 years of experience in financial services mandatory, experience in the wealth management space at a BD or an RIA a plus
• Facility with compliance-related technologies and systems, and a willingness and ability to expand existing technology skills.
• Good understanding of investment advisor and broker-dealer operational issues
• Preference for candidates with compliance-related experience involving pooled investment vehicles and/or registered and/or private investment funds (e.g., hedge funds, private equity funds, mutual funds and ETFs)
• Familiarity with regulatory and compliance issues relevant to financial technology
• Preference for candidates with prior experience with a regulator (ideally SEC)
• Excellent written and verbal communication and organizational skills
• Candidate must exhibit a high-level of professionalism and sound judgment

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