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.

Responsibilities:

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.

Qualifications:

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.

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