Compliance Manager

The Role 

The Director of Compliance will be an invaluable resource and responsible for managing and directing the firm's compliance programs. In addition, this role will also be expected to provide comprehensive compliance advice, and support high-level strategic initiatives, such as: 

• The review and implementation of the firm’s compliance policies and procedures, including the firm’s automated compliance system to capture code of ethics requirements (such as attestations including, assembling and reviewing quarterly and annual certifications, personal investment pre-clearance and monitoring, account statement review, gifts & entertainment, outside business activities/conflicts of interest, political contributions review and pre-clearance) 
• Monitoring compliance with contractual obligations to client/investors, including investment management agreements and side letters 
• Prepare and give training to the firm on compliance matters, including annual compliance training, and onboarding training for new employees and consultants 
• Attend to periodic filings including but not limited to Form ADV, Form PF, 13G, 13F, Form D, blue sky and other filings 
• Undertake compliance due diligence on the firm’s research providers (including alternative data providers) and service providers 
•  Participate in mock audits and mock cybersecurity audits conducted by compliance consultants and/or law firms and liaise with such firms to stay at the forefront of compliance matters 
• Assist with legal matters as they arise, such as updates to fund documentation, contractual negotiations and other legal and regulatory matters 
• Liaise with various groups within the Firm and various external service providers. 
• Provide other ad hoc compliance support as required 

Qualifications: 

• Bachelor’s degree or the equivalent combination of education and experience is required (JD or advanced/graduate degree preferred) 
• 6+ years of progressive experience in compliance, or a related field within the financial services industry 
• An agile self-starter who can thrive in a fast-paced environment and feels comfortable navigating complex issues 
• Ability to multi-task responding to a myriad of requests/projects 
• Detail-oriented executor 
• Strong leadership and collaboration skills 
• Demonstrates excellent interpersonal and communication skills to effectively create confidence and trust