Director of Investment Compliance, West Coast

Our client, based in New York City, is a large investment advisory firm with global presence. Growth has created the need for a Director of Investment and Regulatory Compliance in their West Coast offices. This position will have responsibility for oversight and advice on compliance matters affecting the institutional advisory business.


About the Job:

  • Assist with advisor compliance program framework including designing and implementing the compliance program with a focus on ERISA, private fund compliance and compliance matters under the Commodity Exchange Act
  • Collaborate with a number of compliance, legal and business groups not resident in the west coast office
  • Back up for the privately negotiated transactions due diligence team  
  • Compliance regulatory counsel for investment teams
  • Assist in managing the west coast compliance team; mentor and coach associates and analysts to promptly and thoroughly address important compliance risks
  • Perform any other functions which may be required to support the compliance program including providing proactive advice about new regulations


About You:

  • Bachelor’s degree and JD required
  • 8 plus years of investment management compliance experience at a law firm, and in-house experience with staff management
  • Understanding and familiarity with the Investment Advisers Act of 1940 required; knowledge of the Investment Company Act of 1940 and ERISA is a plus
  • Ability to work collaboratively with compliance, legal and business teams in other US offices during east coast work hours
  • Strong communications skills and team building focus
  • Strict attention to details while prioritizing issues appropriately in a fast-paced and demanding environment
  • Strong problem solving skills and ability to take initiative

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