Director of Investment Adviser Compliance

Responsibilities

• Serve as the outsourced CCO for RIAs, managing multiple client accounts across a variety of investment strategies.
• Provide guidance on Advisers Act, ICA, SEC regulations.
• Leverage excellent communication, collaboration, client service and relationship management skills to guide and mentor team members; provide coaching and development opportunities.
• Lead a team in delivering compliant programs for SEC-registered advisers.
• Conduct regularly scheduled calls and meetings to advise clients on regulatory best practices.
• Oversee development of key compliance work products: written policies and procedures, risk assessments, compliance manuals, codes of ethics, compliance calendars.
• Perform annual 206(4)-7 reviews examining adviser's policies, procedures, and documentation.
• Conduct forensic testing and ongoing compliance monitoring based on risk assessments.
• Aid with regulatory filings such as Form ADV, Form PF, 13F, and fund compliance questionnaires.
• Represent clients in SEC examinations and enforcement actions; develop action plans and responses.
• Identify opportunities to enhance compliance services and add value for clients.
• Participate in business development initiatives, conference speaking, and client meetings.
• Exercise discretion and make independent judgments on matters of significance.
• Thrive in a fast-paced small team environment.
• Stay current on regulations and compliance trends; pursue continuing education.
• Embrace new initiatives and continuously enhance internal processes and workflow.

Qualifications

• 10+ years in investment advisory compliance consulting or in-house.
• Specific experience in asset management, hedge funds, private equity a plus.
• Compliance certifications like IACCP or CCEP preferred.
• Excellent written/verbal communication and presentation skills.
• Lead calls and draft responses during SEC examinations and enforcement actions.
• Existing network and business development experience.
• Speak at industry conferences; author compliance articles.
• Flexibility to work independently and in a team environment.
• Dedication to ethics, integrity, and client service.
• NFA/CFTC experience is a plus.
• Strong interpersonal skills with the ability to build effective working relationships.
• Ability to collaborate with colleagues, clients, and junior team members.