Director of Investment Surveillance, NY

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

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