Our client, a mid-sized asset manager, is looking to add a strategic Compliance Director / Head of US Compliance in Hoboken, NJ. You will run the day-to-day compliance program, work as part of the senior management team while reporting into the CCO/GC.
The ideal candidate must have experience overseeing and operating a compliance program for an SEC registered investment adviser and/or at a regulator handling SEC examinations and regulatory issues. Expert knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, SEC and FINRA regulations is required.
Understanding of the following areas: maintaining, revising, implementing, and enforcing compliance policies and procedures; assisting in regulatory exams/audits/inquiries; updating Form ADV; performing annual compliance reviews; overseeing personal trading activities and an Advisers Act compliant Code of Ethics; monitoring regulatory changes in the investment management industry; reviewing/revising investment advisory marketing materials, etc.
This position is ideal for a talented, hard-working and entrepreneurial compliance professional who excels in a collaborative and international environment.
For a more detailed discussion in confidence, please apply with your resume.