Associate Director, Risk & Compliance

IFM Investors•New York, NY

19h•Hybrid

About The Position

IFM Investors is a global asset manager, founded and owned by pension funds, with capabilities in infrastructure equity and debt, private equity, private credit, real estate and listed equities. Our purpose is to invest, protect and grow the long-term retirement savings of working people. We believe healthy returns depend on healthy economic, environmental and social systems - and these are evolving on a scale never experienced before. To find opportunity, build value and meet the needs of future generations, you need scale, skill and expertise. That’s what IFM Investors has built up over 30 years. With assets under management of approximately $266.1 AUD billion (at 31 December 2025), we prioritise the interests of over 831 institutional investors worldwide. IFM operates from 16 offices across Australia, Europe, North America and Asia. At IFM, you’re not just part of an investment company – but an invested one. We see the work we do as the chance to take sustainable, responsible steps forward for millions of people around the world. So, we have made sure to create a workplace that’s inclusive, accountable and collaborative. Where you’re given the opportunities to make a meaningful contribution and grow your skills. All while feeling valued and supported for who you are and what you bring to the team. Along with the chance to make a meaningful, positive difference from day one, we offer a competitive salary and generous leave entitlements. Our hybrid and flexible approach can vary by team and role, it is built around trust. We encourage our people to manage their work life rhythm in a way that works best for them and their teams. Risk & Compliance works closely with our business to help ensure we meet our risk and compliance obligations, including anti-money laundering, fraud risks, conflicts of interest, and regulatory reporting.

Requirements

Significant financial services industry experience in compliance roles with a registered investment adviser and/or broker dealer
Sound investment, financial market and product knowledge
Minimum 10+ years of compliance advisory experience with specific involvement in new product development from design to launch
Tertiary qualifications in law, IT, commerce, accounting, finance, economics, or related field
In-depth understanding and knowledge of the market and products offered or to be offered by IFM Investors
Understanding of regulatory requirements as they relate to IFM Investors investment and governance processes
Strong understanding of investment management processes.
Sound understanding of US and Canadian laws, regulations and governance requirements as they relate to IFM Investors
Experience in monitoring, reporting and applying regulations to business practices (e.g., evaluating new and existing products, applying a Code of Ethics to areas such as personal trading, market abuse, gifts and entertainment, and political contributions; marketing material reviews)
Strong knowledge of products that are globally distributed (ideally across the infrastructure equity and/or infrastructure debt strategies)
Knowledge of private funds industry, broker dealers or other closely related industries
Strong writing and presentation skills and keen attention to detail
Interest in joining and adding value to a global team with the ability to communicate effectively across jurisdictions
Proficient with Microsoft products and the ability to manipulate data
Experience preparing and submitting regulatory filings including U4s, Form ADV, Form PF, FRB forms, Form Ds, etc.

Nice To Haves

May have post-graduate qualifications
FINRA Series 7, 24 and/or 14 licenses a plus

Responsibilities

Assist in the management of IFM’s compliance program and strategic initiatives with a focus on regulatory requirements, new product development and other obligations
Provide compliance advisory services to business units with respect to rules, activities, and best practices
Contribute to other strategic projects including advisory work associated with new product development and implementation
Collaborate with stakeholders to monitor and track the compliance and regulatory requirements of new products
Strengthen the new product framework and process from a compliance perspective to ensure robust identification, assessment and monitoring of any regulatory issues
Manage regulatory filings including Form ADV, Form PF, Form Ds, OSC filings, routine broker dealer related filings such as U4s, U5s
Manage annual compliance reviews for registered investment advisers and a broker dealer
Assist with a global compliance monitoring plan as it relates to internal risk and compliance reporting including Code of Ethics reporting, expense allocations, deal allocations, AML queries, marketing material review, etc.
Review marketing and brand documents for compliance with advertising rule requirements from a US and Canadian perspective
Assist with initial, annual and ad hoc compliance training
Monitor regulatory change as applicable to IFM Investors
Act as a secondary point of contact for regulators (e.g. SEC, FINRA, OSC, etc.).
Assist with AML compliance obligations and queries including investor onboarding and KYC issues
Update policies and procedures
Engage and manage service providers including compliance consultants and outside counsel
Collaborate with global stakeholders to ensure consistency in approach with respect to executing the compliance program
Other responsibilities as required
Provide timely expert advice to stakeholders on compliance-related matters
Coordinate and liaise with key internal stakeholders to successfully deliver projects within deadlines
Assist in the development of Risk & Compliance team members and the overall capability of the function, which can include training and mentoring staff
Oversee and contribute to the development and maintenance of IFM Group policies and procedures to ensure effective compliance and risk management outcomes are achieved