Director of Compliance - Atlanta, GA

Cortland•Atlanta, GA

1d•Onsite

About The Position

As the Director of Compliance, you will partner with the Chief Compliance Officer (CCO) to lead and evolve Cortland’s compliance program under the Investment Advisers Act of 1940. You will play a critical role in shaping program governance, strengthening monitoring and controls, and advising senior leaders across the firm—ensuring compliance supports regulatory expectations and Cortland’s investment and growth objectives. This role is ideal for a compliance leader who brings deep RIA regulatory expertise and experience operating within a scaled asset manager environment (approximately $10B+ AUM) and who is energized by building modern, risk based, data informed compliance capabilities.

Requirements

8–15+ years of compliance experience within an SEC‑registered investment adviser.
Deep knowledge of the Investment Advisers Act of 1940, including experience with: Marketing Rule (206(4)-1), Compliance Rule (206(4)-7) and Code of Ethics (204A‑1)
Experience designing and executing compliance monitoring and testing programs.
Strong judgment and ability to balance regulatory risk with business objectives.
Experience working with large data sets and applying technology to enhance compliance processes.
Excellent communication skills and an ability to work effectively across teams and levels of seniority.

Responsibilities

Drive the development, implementation, and continuous improvement of firmwide compliance policies, procedures, and standards.
Lead the annual compliance review and execute ongoing compliance risk assessments to evaluate program effectiveness and emerging risks.
Proactively advise the CCO and senior stakeholders on regulatory developments, evolving expectations, and required program enhancements.
Serve as a strategic business partner to investment, asset management, and firm leadership—providing practical guidance that supports growth while reinforcing fiduciary stewardship and investor trust.
Lead the evolution and scaling of Cortland’s compliance program as business priorities expand, including new investment structures and increasing regulatory complexity.
Build and manage a risk‑based monitoring and testing program covering key regulatory obligations and firm priorities.
Conduct thematic reviews and oversee issue remediation tracking, documentation, and reporting to ensure timely and sustainable resolution.
Maintain oversight of conflicts management, third‑party due diligence, and vendor compliance, including risk tiering and ongoing monitoring.
Partner with Compliance Operations and stakeholders to enhance reporting, data quality, and program transparency using analytics to identify trends and strengthen preventive controls.
Provide compliance leadership and guidance across Cortland’s investment strategies and sponsor activities, including real estate funds and private investment vehicles.
Advise on investment structures, disclosures, conflicts, and ongoing regulatory obligations.
Partner closely with Investment, Finance, Accounting, Investor Relations, and Technology teams to embed compliance into business processes and strategic initiatives.
Translate complex regulatory requirements into clear, actionable guidance that supports informed decision‑making and disciplined execution.
Review and approve marketing materials, investor communications, and performance advertising for SEC Marketing Rule compliance.
Support the preparation, review, and ongoing maintenance of Form ADV, Form PF, and other regulatory filings.
Support regulatory examinations and inquiries by preparing documentation, coordinating responses, and guiding teams through the examination process.
Act as a mentor and thought leader within the compliance function, modeling strong judgment and building trusted‑advisor credibility across the firm.
Deliver compliance training to enhance firmwide awareness and reinforce a culture of fiduciary responsibility.
Provide day‑to‑day guidance to investment, finance, accounting, investor relations, and technology teams.
Partner cross‑functionally to strengthen controls, improve workflows, and leverage technology to modernize compliance capabilities.