Opportunities • Frink-Hamlett


Director-Investment Management Compliance (NYC).159

Job Title
Director-Investment Management Compliance (NYC).159

A premier financial services firm located in New York City seeks a Director-Investment Management Compliance to join its collaborative and team-oriented environment. Compensation is competitive with an attractive benefit package.

Primary Duties

  • Serve as the Mutual Fund and Registered Investment Adviser Chief Compliance Officer
  • Responsible for maintaining and enhancing 38a-1 and 206(4)-7 compliance programs
  • Oversight of the preparation of Mutual Fund and Registered Investment Adviser compliance program board materials for periodic updates to the boards
  • Oversight of and ongoing enhancement to the testing and surveillance program for the Mutual Funds and Registered Investment Adviser operations
  • In partnership with Legal oversee ongoing development and implementation of compliance policies and procedures
  • Awareness and tracking of relevant SEC, NFA/CFTC developments and industry best practices
  • Work closely with portfolio managers, traders, fund accountants and other investment, finance and operational professionals to design and implement adequate operational policies and procedures
  • Provide support and assist with the management of regulatory and audit examinations
  • Act as knowledge source on issues related to new investment products and strategies and manage related regulatory setup
  • Managing a team of compliance professionals and mentoring junior staff members
  • Supervise ongoing sub-advisor compliance due diligence program which may include periodic travel and coordination with operational due diligence team
  • Oversight of the organization’s core compliance program, e.g., Code of Ethics, Employee Personal Trading
  • Participate in governance committees and meetings
  • Develop and deploy investment compliance related training to relevant staff in order to meet regulatory expectations and to promote a culture of compliance


  • 10+ years' experience working for a mutual fund or as an investment advisor in a senior compliance capacity.
  • Law degree preferred, but not required
  • Knowledge of relevant rules and regulations under the Investment Company Act of 1940 and the Investment Advisers Act of 1940
  • Ability to successfully interact with regulators and auditors, as well as effectively manage regulatory examinations
  • Ability to effectively present and communicate to Board of Directors and Senior/Executive Management
  • Strong written and verbal communication skills with the ability to speak with impact, influence outcomes, and simplify complex topics into actionable recommendations for decision-making
  • Knowledge of the operation and utilization of proprietary mutual funds within a bank/ trust company/wealth management environment preferred
  • Knowledge of Broker Dealer operations and compliance (FINRA Rules), a plus
  • Knowledge of Bank investment management processes, a plus
  • Familiarity with compliance management software, a plus, e.g., MyComplianceOffice (MCO) or similar platforms



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