Director of Compliance

A mid sized Investment Management firm seeks a Compliance, Director to support the CCO in administering and enhancing the firm's compliance program for an SEC-registered investment adviser managing private investment funds. You're self directed & will be managing day-to-day compliance activities, conducting risk-based monitoring and testing, supporting regulatory filings and SEC examinations & investigations, providing compliance guidance across the organization. Responsibilities Support the management & ongoing enhancement of the firm's compliance program in accordance with the Investment Advisers Act of 1940. Keep up to date w/ regulatory developments & recommend updates to policies, procedures, & internal controls. Conduct risk-based compliance testing and monitoring of advisory activities, trading, valuation, expense allocations, conflicts of interest, marketing, & operational processes. Assist with the preparation & maintenance of Form ADV, Form PF, & other regulatory filings. Support SEC examinations & investigations, regulatory inquiries, investor due diligence requests, and internal audits. Monitor compliance with fund governing documents, investment guidelines, side letters, and investor-specific obligations. Administer the firm's Code of Ethics, including: personal trading, certifications, gifts and entertainment, outside business activities, political contributions, & conflicts of interest. Maintain & organize required books and records & oversee the firm's compliance calendar. Assist with annual compliance reviews, risk assessments, & development of testing plans. Conduct compliance due diligence & ongoing oversight of third-party service providers. Provide compliance, guidance and training to company employees. Participate in compliance initiatives & on going process improvements Qualifications: Bachelor's degree required. 5–10 years of compliance experience with an SEC-registered investment adviser, private fund manager, or alternative investment firm. Strong knowledge of the Investment Advisers Act of 1940 and SEC regulations applicable to private fund advisers. Understanding of private fund operations, fiduciary obligations, valuation governance, expense allocations, and conflicts of interest. Expertise in analyzing and applying SEC regulations to non-traditional investment structures, with the ability to assess regulatory implications and ensure ongoing compliance. #J-18808-Ljbffr Howard-Sloan Search