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Posted: Thu Feb 02 2023

Compliance Director

Direct Hire

Compliance Director | Remote (with travel to Chicago/Boston) | $155-175k base + bonus 
Leading investment management firm seeks Compliance Director to oversee team responsible for compliance monitoring, code of ethics, risk management, portfolio compliance, policies/procedures, records management, continuing education, information security and vendor oversight. 
Assist primary review officers with administration/compliance monitoring of gifts/entertainment and conflicts of interest
Develop/perform forensic testing; coordinate with outside third-party vendor as needed
Oversee staff responsible for administration of Protegent PTA and transition to ACA ComplianceAlpha; oversee quarterly audit process; coordinate with vendor on certain code of ethics administrative functions 
Coordinate/lead Risk Committee meetings; administer compliance incident reporting system; maintain/update risk matrix/coordinate reporting with parent company; coordinate with Internal Audit on all risk-related matters; support CCO annual reviews
Oversee staff responsible for Best Execution Committee meetings; participate in quarterly meetings; assist with oversight of approved brokers/soft dollar review/best execution analysis; review reporting 
Assist in annual review/update of policies/procedures; draft new policies/procedures as requested
Oversee portfolio compliance system; ensure all investment guidelines (client/regulatory/industry) are properly coded/monitored; oversee portfolio compliance monitoring/reporting
Oversee firmwide records management process/systems; research/maintain matrices of recordkeeping requirements
Provide compliance support for vendor management program 
Assist with development/administration of Continuing Education program; create/conduct annual compliance meetings/training (code of ethics, new hires, etc.); lead periodic Open Houses; maintain intranet forum offering familiarity with compliance policies/processes/initiatives 
Provide compliance support for information security/business continuity programs 
Bachelor’s Degree; 10+ years’ experience in financial services compliance (or as a 1940 Act paralegal); exp w/ ETFs/multi-asset products/manager-of-managers structure a plus
Prior experience in investment management; strong knowledge of regulations including Investment Company/Investment Advisers Acts of 1940, Securities Act of 1933, Securities Exchange Act of 1934, Commodity Exchange Act, NFA rules/regulations and FINRA rules/regulations

Brokerage Consultants Inc.