Job Description

Job Description

We are seeking an experienced compliance professional to lead the compliance program for an Asset Management business within a global financial services organization.

Reporting to the Chief Compliance Officer, this role will oversee legal, regulatory, and compliance risks associated with investment management activities in a SOX environment. The successful candidate will partner closely with business and functional leaders to ensure strong governance, regulatory compliance, and effective controls across multiple adviser entities.

Key Responsibilities

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• Develop and maintain compliance policies, procedures, and controls for investment management activities.
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• Oversee regulatory and compliance filings and support regulatory inquiries.
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• Monitor legal and regulatory developments and assess their impact on the business.
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• Conduct risk assessments and risk-based compliance testing; recommend and implement enhancements.
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• Support securities offering, governance, investor, and operational due diligence requirements.
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• Develop and deliver compliance training.
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• Maintain required compliance and corporate records.
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• Partner with Legal, Compliance, Risk, and business teams globally to promote consistent and effective practices.
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• Serve as a trusted compliance advisor to senior business stakeholders.
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Qualifications

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• 6+ years of compliance experience with an SEC-registered investment adviser, exempt reporting adviser, and/or regulated investment business.
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• Strong knowledge of securities and asset management regulations.
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• Familiarity with the Investment Advisers Act and related securities, investment company, and commodities regulations.
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• Strong understanding of compliance risk and ability to develop pragmatic solutions.
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• Excellent communication, collaboration, and stakeholder management skills.
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• Strong attention to detail and sound business judgment.
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• Bachelor's degree required; advanced or professional qualifications are a plus.
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