Our client is a large global asset management company looking to add a Director of Surveillance in their investment advisory division. Reporting to the Head of Institutional Compliance, this person will join a growing team responsible for various compliance procedures and policies supporting the institutional investment management business.

About the Job:

10+ years of compliance experience within investment management, ideally with a fixed income asset manager
Manage a small group of compliance and trading surveillance staff; assist with the advisor compliance program, including implementation and maintenance of compliance surveillance systems and entity level registrations in conjunction with our client’s Central Compliance
Assist the team with guideline and investment management agreement interpretation questions as well as surveillance reports
Design and implement the annual plan regarding forensic or transactional tests, pursuant to Rule 206(4)-7 under the Advisers Act
Oversee various firm systems and manage the automation program for the compliance function
Perform any other functions which may be required to support the compliance program, including training and providing proactive advice about regulations

About You:

JD required, as well as undergraduate degree ideally within Finance, Business, or Economics
Understanding and familiarity with the Investment Advisers Act of 1940, the Investment Company Act of 1940, and ERISA
Results-orientation and strong internal client relationship skills; extremely thorough while demonstrating the confidence and communication skills to ensure work processes are completed accurately and appropriately
Willingness to roll up sleeves to perform any and all responsibilities needed to ensure success
Proficient with Charles River Development System, Black Rock Solutions, Excel, and MS Word; able to learn new systems quickly