Compliance Director

BTGPactual International•New York, NY

21h

About The Position

The Compliance Director will assist the Chief Compliance Officer (CCO) in the ongoing development and monitoring of the compliance program for its SEC registered investment advisers. This role supports the launch of new funds and assists with the ongoing maintenance of existing funds, including establishing or updating processes and identifying areas of risk. The Director will lead the Core Compliance function, overseeing employee-related compliance such as conflicts of interest, personal trading, and outside business activities, as well as registration and employee training. The position involves developing, implementing, and maintaining policies and procedures aligned with regulatory requirements, and providing guidance to business leaders and employees on compliance matters. Collaboration with global compliance teams is essential for aligning key initiatives and best practices, including wall crossings, trade surveillance, and monitoring. The role requires preparing and reviewing SEC and NFA regulatory filings, marketing materials, due diligence questionnaires, and other client communications, often under tight deadlines. Additionally, the Director will support regulatory exams, inquiries, and audits, conduct periodic reviews and monitoring to assess compliance control effectiveness, and carry out business process reviews and compliance audits. Facilitating the annual compliance review process (206(4)-7) with external consultants and preparing materials for oversight committees are also key responsibilities.

Requirements

Bachelor’s degree in law, finance, business management, or a related field.
5+ years’ proven experience in a compliance officer role at an SEC registered investment adviser or hedge fund.
Strong knowledge of SEC investment advisor requirements and filings, as well as NFA requirements and filings.
Experience managing or overseeing compliance programs.
Demonstrated strength in time management and prioritization to meet key deadlines.
Proactively identifies opportunities to enhance efficiency and performance.
Ability to work with and consult individuals at all levels of an organization required.
Adept at interfacing with external constituents including regulators and other representatives.
Strong analytical and critical thinking skills, sound judgment and decision-making skills, and strong verbal and written communication skills.

Responsibilities

Assist the CCO in the ongoing development and monitoring of the compliance program for its SEC registered investment advisers.
Support launch of new funds and assist with ongoing maintenance of existing funds-including, establishing or updating processes and identifying areas of risk.
Lead Core Compliance function, with oversight to include employee related compliance (e.g. conflicts of interest, personal trading, OBAs), registration and employee training.
Develop, implement, and maintain policies and procedures aligned with regulatory requirements.
Provide guidance to business leaders and employees on compliance-related matters and regulations.
Collaborate closely with global compliance teams to ensure alignment of key initiatives and best practices such as wall crossings, trade surveillance and monitoring.
Prepare and review SEC and NFA regulatory filings including Form 13F, Form ADVs, Form PFs and Form CPO-PQR.
Review marketing materials, due diligence questionnaires, and other client communications sometimes under tight deadlines.
Support regulatory exams, inquiries and audits.
Conduct periodic reviews and monitoring to assess the effectiveness of compliance controls.
Carry out reviews (business process reviews and compliance audits) to ensure that the Company complies with rules and regulations as well as with the company’s policies and internal control procedures.
Facilitate the compliance annual review process (206(4)-7) alongside external compliance consultants.
Prepare materials for various oversight committees such as best execution and valuation.