Director of Compliance - Asset Management

Posted 02/06/2024 By Jennifer Keane

Position: Director of Compliance - Asset Management

Location: Boston- hybrid schedule- 3x a week in the office

About Us: Our client is a leading asset management firm dedicated to providing exceptional investment solutions to our clients. With a commitment to integrity, transparency, and regulatory compliance, we strive to deliver superior performance while maintaining the highest standards of ethical conduct. We are currently seeking a highly skilled and experienced Director of Compliance to oversee our compliance program and ensure adherence to regulatory requirements in the asset management field.


Compliance Oversight:

  • Develop, implement, and maintain comprehensive compliance policies, procedures, and controls to ensure adherence to regulatory requirements and industry best practices.
  • Provide strategic direction and oversight for the firm's compliance program, including monitoring and assessing regulatory developments and emerging risks.

Regulatory Compliance:

  • Stay abreast of regulatory developments and changes affecting the asset management industry, with a focus on mutual funds, broker/dealers, and internal audits.
  • Interpret and apply relevant regulations, such as the Investment Advisers Act, Investment Company Act, SEC rules, and other applicable laws and regulations.

Internal Controls and Risk Management:

  • Establish and maintain effective internal controls to mitigate compliance risks and ensure the integrity of the firm's operations.
  • Conduct periodic risk assessments and internal audits to identify and address compliance gaps and vulnerabilities.

Regulatory Reporting and Filings:

  • Ensure timely and accurate preparation and filing of regulatory reports, including Form ADV, Form PF, Form D, and other required disclosures.
  • Coordinate regulatory examinations and inquiries, serving as the primary point of contact with regulatory authorities.

Training and Education:

  • Develop and deliver compliance training programs for employees at all levels of the organization, promoting a culture of compliance and ethical conduct.
  • Provide guidance and support to business units on compliance-related matters, including new product launches and regulatory initiatives.

External Relationships:

  • Maintain effective relationships with regulatory agencies, industry associations, and external legal counsel to stay informed of regulatory developments and industry trends.
  • Represent the firm in regulatory forums, industry conferences, and working groups to advocate for regulatory reforms and promote compliance best practices.


  • Juris Doctorate (JD) degree from an accredited law school required.
  • Minimum 10 years of experience in compliance roles within the asset management industry, with expertise in mutual funds, broker/dealers, and internal audits.
  • In-depth knowledge of regulatory requirements and compliance obligations relevant to the asset management industry, including familiarity with SEC regulations and industry standards.
  • Strong analytical and problem-solving skills, with the ability to interpret complex regulatory requirements and apply them to business operations.
  • Excellent communication and interpersonal skills, with the ability to interact effectively with stakeholders at all levels of the organization.
  • Proven leadership and managerial experience, with the ability to lead a team and drive results in a fast-paced environment.

Want more information?

Complete the form below and Jennifer will follow up with you to discuss this position, or you can call her at 508-732-9262.

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