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The Compliance Director position at Chartwell Investment Partners requires extensive knowledge in investment advisory compliance, with a focus on aligning the firm's operations with SEC regulations. The role involves managing compliance functions, leading projects, and collaborating with internal teams to enhance compliance processes.
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Job Summary
Administer and manage investment advisory-related compliance functions for the firm’s Asset Management Services (“AMS”) division, ensuring alignment with SEC Regulations under the Investment Advisers Act of 1940.
Identifies, develops and administers compliance monitoring activities over AMS functions, including investment management activities, advisory fee billing, and manager research.
Partners with business units to recommend policy and process changes to Senior Management and reviews compliance and risk management controls.
Matching Summary
Match Score: 75
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The Compliance Director position at Chartwell Investment Partners requires extensive knowledge in investment advisory compliance, with a focus on aligning the firm's operations with SEC regulations. The role involves managing compliance functions, leading projects, and collaborating with internal teams to enhance compliance processes.
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Skills & Requirements
Must-have
Investment Advisers Act of 1940
SEC regulations
compliance monitoring activities
regulatory requirements
securities industry compliance
Nice-to-have
strategic direction
tactical plans
operational efficiencies
team cohesiveness
Key Requirements
Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience
Minimum five (5) years management experience
Bachelor’s Degree (B.A./B.S.) in a related discipline