Director, Compliance Advisory - Investments
$127k - $210kFull-time
- Lead compliance programs for multiple investment adviser entities
- Shape advisory compliance strategy across complex product platforms
About Our Client
A global investment organization offering a diverse suite of asset management and advisory products. The firm emphasizes strong governance, a forward‑looking risk culture, and disciplined oversight across all investment and operational activities.
Job Description
- Support the Chief Compliance Officer in designing and managing compliance programs for affiliated registered investment advisers
- Serve as a key advisor to investment, product, legal, distribution, and operations teams on compliance considerations related to new business initiatives and product development
- Help cultivate a strong compliance culture by driving awareness of regulatory expectations and encouraging early incorporation of compliance perspectives
- Draft, review, and enhance policies and procedures aligned with the Investment Advisers Act and other applicable regulations
- Prepare required regulatory filings and documentation
- Oversee periodic compliance risk assessments and contribute to the development of mitigation plans
- Assist with regulatory examinations, inquiries, and related responses
- Analyze complex regulatory or business issues and provide practical, risk‑aligned recommendations
- Manage competing priorities across multiple affiliated business lines with strong project management discipline
- Communicate clearly and confidently with senior leadership, clients, and regulatory bodies
The Successful Applicant
- Bachelor's degree required; MBA preferred
- At least 15 years of compliance experience within the asset management industry, with strong expertise in the Investment Advisers Act
- Experience with alternatives or complex investment strategies is advantageous
- Strong communication skills with the ability to engage senior executives and regulators
- Ability to independently evaluate regulatory questions, propose practical solutions, and drive execution
- Strong organizational, analytical, and project‑management capabilities
What's on Offer
- Competitive annual salary ranging from $127,000 to $210,000 (USD).
- Leadership role with significant influence over investment adviser compliance strategy
- Opportunity to shape regulatory preparedness and strengthen cross‑functional governance
Contact
Lauren Van Manen
Quote job ref
JN-042026-6987264
Vacancy posted more than 2 months ago
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