Director of Compliance

Location: Bethesda, Maryland (Hybrid)Compensation: $175K-$225K base + bonusOur Client, a $15 billion alternative asset management firm is looking to add a Director of Compliance to their legal and compliance team. The person in this role will report directly to the GC/CCOResponsibilities:• Work with the firm's General Counsel & CCO in managing the firm's overall compliance program• Stay up to date with evolving regulations and industry trends, and proactively adapt the compliance program as needed• Draft, implement, and maintain the firm's compliance policies, procedures and manuals to ensure adherence to regulatory requirements and industry standards • Spearhead the firm's annual compliance review and monthly and quarterly testing processes• Conduct ongoing monitoring and surveillance of trading activity. Develop processes and tools that result in additional improvements to the existing testing framework• Conduct ongoing marketing material and DDQ review• Review, assess and oversee compliance-related activities of third-party service providers and vendors, ensuring their adherence to regulatory requirements and the highest standards of governance• Proactively identify procedures and protocols for the firm in being "exam ready" for any future SEC examsQualifications:• 7 - 10 years of total work experience, in a Compliance role or related fields • Experience working on compliance matters related to investment advisers and hedge funds or private equity funds preferred• Strong verbal and written communication skills• Superior attention to detail, strong organizational skills and a proactive approach to tasks• Strong stakeholder management skills, and ability to execute projects cross-functionally• Familiarity with utilizing Compliance systems & tools (ex. ComplySci, Global Relay)• Experience with SEC exams and other regulatory inquiries

Created: 2025-03-03