Compliance Director Jobs

About The Position

Requirements

• Extensive experience in portfolio compliance, investment operations, or a related field.
• Proven track record of establishing and leading compliance functions.
• Deep understanding of investment guidelines, regulatory requirements, and operational controls.
• Experience with technology, automation, and process improvement initiatives.
• Strong risk management and governance skills.
• Excellent stakeholder management and communication abilities.
• Experience in team leadership and talent development.
• Ability to influence business strategy and drive organizational change.

Nice To Haves

• Experience in a global investment platform.
• Familiarity with various investment strategies and products.
• Experience with data governance and compliance monitoring capabilities.

Responsibilities

• Establish and lead the strategic direction, governance framework, and operating model for Portfolio Compliance across a diverse and growing global investment platform.
• Serve as the senior leader and principal point of escalation for portfolio compliance matters across the platform.
• Oversee the portfolio compliance oversight framework, ensuring effective governance, controls, accountability, and consistency across pre and post trade compliance monitoring activities.
• Serve as a senior advisor on complex investment guidelines, regulatory requirements, client mandated restrictions, and operational control design.
• Establish standards for exception management, escalation, remediation, and root cause analysis, ensuring material issues are addressed appropriately and consistently.
• Strengthen the control environment by emerging risks, process gaps, and opportunities to enhance governance, oversight, and operational effectiveness.
• Ensure the function can support new accounts, products, strategies, and business growth while maintaining a strong risk and control environment.
• Lead the development and evolution of the Portfolio Compliance operating model to support the Firm’s growth and strategic priorities.
• Drive large-scale transformation initiatives focused on automation, technology enhancements, data governance, and process optimization.
• Partner with Technology, Data, Compliance, Legal, and investment teams to improve compliance monitoring capabilities and data quality across the investment lifecycle.
• Provide executive oversight of compliance technology strategy, rule implementation frameworks, and monitoring capabilities.
• Anticipate future business needs and industry developments, ensuring the Portfolio Compliance function remains scalable and aligned with evolving investment strategies and regulatory requirements.
• Build trusted relationships with senior stakeholders across Portfolio Management, Investment Operations, Legal, Compliance, Investor Relations, Technology, Data, and executive leadership.
• Act as a strategic thought partner on complex portfolio compliance matters, operational risks, and business initiatives.
• Partner with executive leadership to support strategic growth initiatives, new products, business expansion efforts, and evolving operating requirements.
• Influence business strategy through effective communication, thoughtful recommendations, and cross-functional leadership.
• Represent the Portfolio Compliance function in governance forums, audits, regulatory inquiries, client-related matters, or other high-priority initiatives.
• Maintain a strategic approach to business, operational, regulatory, and reputational risk management within the Portfolio Compliance function.
• Balance risk mitigation with commercial objectives, ensuring compliance oversight supports the Firm’s business goals while maintaining strong controls.
• Monitor trends in compliance exceptions, control issues, operational metrics, and regulatory developments to identify emerging risks and drive enhancements.
• Oversee management reporting, client-facing reporting, audit responses, regulatory inquiries, and governance routines.
• Promote a culture of accountability, transparency, and proactive risk management across the team.
• Build and scale the Portfolio Compliance organization, including team structure, talent strategy, succession planning, and operating model design.
• Lead, coach, and develop a high-performing team while establishing clear priorities, expectations, and accountability measures.
• Foster a culture of collaboration, continuous improvement, innovation, and professional development.
• Oversee hiring, onboarding, training, and talent management to ensure the function remains positioned to support business growth and future needs.
• Leads through periods of organizational change, maintaining stability while driving progress against strategic objectives.

Benefits

• Comprehensive Medical/Rx, Dental and Vision plans
• 401(k) program with company match
• Flexible Savings Accounts (FSA)
• Healthcare Savings Accounts (HSA) with company contribution
• Basic and Voluntary Life Insurance
• Long-Term Disability (LTD) and Short-Term Disability (STD) insurance
• Employee Assistance Program (EAP)
• Commuter Benefits plan for parking and transit
• Access to a world-class medical advisory team
• Mental health app that includes coaching, therapy and psychiatry
• Mindfulness and wellbeing app
• Financial wellness benefit that includes access to a financial advisor
• New parent leave
• Reproductive and adoption assistance
• Emergency backup care
• Matching gift program
• Education sponsorship program