Director of Compliance

Job Description

Compliance Leadership  

• Dive into the firm’s policies and procedures and make suggestions to enhance the documentation of procedures and testing of reports.  
• Develop and deliver compliance training programs for employees to ensure understanding of compliance policies and procedures.  
• Foster a culture of excellence, teamwork, and continuous improvement.  

Policy and Procedures  

• Draft, implement, and maintain compliance policies, procedures and manuals to ensure adherence to regulatory requirements and industry standards.  
• Stay up to date with evolving regulations and industry trends, and proactively adapt the compliance program as needed.  

Monitoring and Surveillance  

• Conduct ongoing monitoring and surveillance of trading activity. Develop processes and tools that result additional improvements to the existing testing framework.  

Vendor Oversight  

• Oversee compliance-related activities of third-party service providers and vendors, ensuring their adherence to regulatory requirements and the highest standards of governance.  
• Continually review and assess new compliance vendors and technologies to drive excellence in the program.  

Marketing  

• The candidate will work with the firm’s lawyers and outside counsel to create procedures for organizing and updating existing marketing guidelines for various jurisdictions.  

Qualifications

• Bachelor’s degree is required, J.D is preferred. CPAs with superior writing skills are welcome to apply.  
• At least 10 years investment management experience at firms that invested in credit products, including corporate bonds and bank debt.  
• In-depth knowledge of compliance requirements applicable to registered investment advisers.  
• Significant experience in drafting policies, procedures, and memorandums. The ability to draft independently is critical.  
• Willingness to be very hands-on.  
• Outstanding communication skills, both written and verbal.