Compliance Director, Investment Advisory Compliance

Job description

Job Description Summary Uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities and/or investment advisory compliance to administer and manage investment advisory-related compliance functions for the firm’s Asset Management Services (“AMS”) division. Ensures alignment with SEC Regulations under the Investment Advisers Act of 1940. Leads major projects, programs, or processes with significant business impact. Influences strategic direction and develops tactical plans and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Maintains contact with internal customers and regulatory agencies to identify, research, analyze and resolve complex issues. Job Description: Essential Duties and Responsibilities: Assists in supporting the compliance program for AMS Serves as a compliance subject matter expert specific to the business and associated programs administered by AMS. Identifies, develops and administers compliance monitoring activities over AMS functions, including investment management activities, advisory fee billing, and manager research. Schedules and facilitates pe...