Head of Compliance
Anonymous - Hoboken, NJ
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Our client, a mid-sized asset manager, is looking to add a strategic Compliance Director / Head of US Compliance in Hoboken, NJ. You will run the day-to-day compliance program, work as part of the senior management team while reporting into the CCO/GC.The ideal candidate must have experience overseeing and operating a compliance program for an SEC registered investment adviser and/or at a regulator handling SEC examinations and regulatory issues. Expert knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, SEC and FINRA regulations is required.Understanding of the following ***** maintaining, revising, implementing, and enforcing compliance policies and procedures; assisting in regulatory exams/audits/inquiries; updating Form ADV; performing annual compliance reviews; overseeing personal trading activities and an Advisers Act compliant Code of Ethics; monitoring regulatory changes in the investment management industry; reviewing/revising investment advisory marketing materials, etc.This position is ideal for a talented, hard-working and entrepreneurial compliance professional who excels in a collaborative and international environment.For a more detailed discussion in confidence, please apply with your resume.
Created: 2024-10-04