Compliance Director, Investment Advisory Compliance

Chartwell Investment Partners

Hybrid
Investment advisers act of 1940 knowledge
Sec regulatory compliance expertise
Compliance risk assessment management
The role requires extensive knowledge to administer investment advisory-related compliance functions for the Asset Management Services division

Job Summary

  • The role requires extensive knowledge to administer investment advisory-related compliance functions for the Asset Management Services division.
  • Candidates will lead major projects, influence strategic direction, and maintain contact with regulatory agencies to resolve complex issues.
  • The position involves partnering with business units to recommend policy changes and automating functions to improve operational efficiencies.

Matching Summary

The role requires extensive knowledge to administer investment advisory-related compliance functions for the Asset Management Services division.

Skills & Requirements

Must-have

  • Investment Advisers Act of 1940 knowledge
  • SEC regulatory compliance expertise
  • Compliance risk assessment management
  • Investment advisory monitoring activities
  • Regulatory reporting and analysis

Nice-to-have

  • Project management in fast-paced environment
  • Automation of compliance systems
  • Strategic partnership with business units
  • Strong verbal and written communication skills
  • Continuous education program development

Key Requirements

  • Bachelor's degree required; Master's preferred
  • Minimum 10 years financial services compliance experience
  • Minimum 5 years management experience
  • Series 7 and 66 licenses preferred
  • Advanced knowledge of SEC and FINRA regulations

Work Rights

Not specified

Tailored Resume

Cover Letter