Job Description

We are seeking an experienced compliance professional to lead the compliance program for a specialized third-party capital 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

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

Qualifications

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

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