Job Description

About The Role:

A highly regarded asset management firm is seeking a leader to oversee the team responsible for implementing the firm’s Code of Conduct, Code of Ethics and Adviser compliance policies, including those covering Gifts, Entertainment and Inducements, Outside Activities, Political and PAC Contributions, and other related procedures. The role involves guiding policy administration, recommending enhancements, and overseeing the development, implementation, and monitoring of core compliance protocols. It also manages key initiatives such as STARCompliance system implementations and upgrades, as well as the integration of new investment managers.

The role offers a hybrid in-office and work from home flexibility.

Responsibilities:

• Lead compliance team in administering Policies, providing guidance, monitoring, and maintaining documentation.
• Review employee trading and exception reports to identify potential violations and trends.
• Oversee employee reporting processes, ensuring accuracy, completeness, and follow-up.
• Ensure Policies and monitoring systems effectively prevent and detect compliance issues, including STARCompliance oversight.
• Maintain strong internal controls, data integrity, and documentation of procedures.
• Act as subject matter expert, recommending policy updates and system enhancements.
• Prepare reports and deliver ongoing training to support firm-wide compliance.

Qualifications:

• Bachelor’s degree, preferably in business, accounting, or finance; FINRA Series 7 or 24 a plus.
• 5–10 years of progressive experience at investment advisory firms, including 3–5 years managing teams.
• Experience designing and administering adviser, mutual fund, broker-dealer, and personal trading compliance policies; strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940.
• Strong written and verbal communication skills, with enterprise-wide visibility; ability to influence and implement compliance initiatives.
• Proficient in MS Excel, Word, and handling large datasets; expertise with compliance systems such as STARCompliance preferred; familiarity with portfolio guideline systems a plus.
• Strong analytical, problem-solving skills, attention to detail, and ability to prioritize multiple tasks under pressure while collaborating effectively with team members.

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