A growing, innovative investment firm located in Manhattan is looking for a Director of Compliance to join their team to play a key role in the operations and development of the compliance framework to enhance the growth of the firm. The role will report to the CCO and be responsible for executing day to day compliance operations on an advanced level.
- Monitor and update the firm's Code of Ethics and Compliance Manual.
- Draft and update policies and procedures.
- Develop and implement annual and new-hire compliance training programs.
- Handle all SEC regulatory filings including but not limited to Form ADV, PF, 13H, 13F.
- Conduct risk-based assessments and testing of the compliance program.
- Review and file marketing materials
- 8-15 years of compliance experience in the investment management industry
- Experience with marketing review and regulatory filings
- Strong knowledge of the Investment Advisers Act of 1940, and Investment Company Act of 1940
- Strong knowledge of SEC and FINRA regulations
- Bachelor's Degree, JD is a plus