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
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.
Leads major projects, programs, or processes with significant business impact, influencing strategic direction and developing tactical plans.
Maintains contact with internal customers and regulatory agencies to identify, research, analyze and resolve complex issues.
Matching 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.
Skills & Requirements
Must-have
Investment advisory compliance
SEC Regulations
Investment Advisers Act of 1940
Compliance monitoring activities
Regulatory updates research
Nice-to-have
Strategic direction influence
Tactical plan development
Continuous evolution of the firm
Client-first, integrity, independence
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