Director, Investments Compliance
About The Position
As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world's investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide. Join us and be part of something extraordinary. This role is located in New York, New York. This role will support multiple affiliated SEC Registered Investment Advisers (RIAs). You'll partner closely with business leaders and senior management to ensure policies, controls, and monitoring processes meet all regulatory requirements.
Requirements
- Bachelor's degree; MBA preferred
- Minimum of 15 years of experience in a compliance role in the asset management industry, with a focus on the Investment Advisers Act.
- Excellent oral and written communication; comfortable presenting to clients, senior executives and regulators
- Ability to independently analyze complex regulatory and business issues, propose pragmatic solutions, and drive timely execution
- Strong project-management skills and ability to juggle priorities across multiple affiliated lines of business
Nice To Haves
- Alternatives experience a plus.
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What This Job Offers
Job Type
Full-time
Career Level
Director
