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Compliance Director
Ref No.: 17-03562
Location: New York, New York
Position Type:Full Time
Pay Rate : $ 150,000.00 - 215,000.00 /Year
Compliance Director
Looking for an experienced candidate to join the firms growing Institutional Compliance team. Reporting to the Head of Institutional Distribution Compliance, the Compliance professional will be a point person for the day-to-day compliance needs which encompasses sales and marketing, client services (for SMAs) and investor services (for funds) and will provide compliance support on key areas such as product and strategy distribution and sales initiatives.
The successful applicant will work closely with compliance colleagues in the U.S., Europe and Asia to ensure coordinated compliance coverage for the team, and will be responsible for providing advice on cross-border distribution and marketing efforts, distribution technology initiatives, controls and policies.

Specific Responsibilities Include
  • Assist in ongoing development and support of our global compliance program for Institutional sales;
  • Serve as a liaison for GIPS, represent Institutional Compliance at GIPS Committee Meetings and provide regulatory compliance advice to the GIPS Committee when required;
  • Develop and review regulatory policies, procedures, and assist the business with developing or reviewing desktop procedures for the business;
  • Attend meetings and hold ad hoc discussions with the business to understand new marketing initiatives; offer compliance guidance, and determine compliance related impacts to global distribution of advisory services and products including separately managed accounts (for clients including but not limited to public pension plans and ERISA plans), 3(c)(7) private funds, UCITS funds, QIFs, and CLOs;
  • Advising sales and distribution teams on cross-border marketing rules and local marketing regulations in U.S., Europe, Middle East, and Asia markets;
  • Work closely with the firm's registered broker dealer compliance to stay coordinated on initiatives;
Skills & Experience Required
  • 6-10 years of Compliance experience within investment management;
  • Strong knowledge of the Investment Advisors Act of 1940, advertising and marketing related rules;
  • Working knowledge of Client Advertising Rules and Regulations;
  • Experience reviewing cross-border marketing activities and familiarity with distribution rules in the U.S., Europe, Middle East, and Asia;