Compliance Director- Asset Management

Chartwell Investment Partners

Not specified; base salary included; discretionary...
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Advanced knowledge of securities industry compliance
Expertise in investment advisers act of 1940
Experience managing compliance monitoring activities
** Chartwell Investment Partners is seeking a Compliance Director for its Asset Management Services division. The role involves managing compliance functions, ensuring alignment with SEC regulations, and leading compliance initiatives within the firm. **

Job Summary

  • The role requires extensive knowledge of securities and investment advisory compliance to administer functions for the Asset Management Services division.
  • Candidates will lead major projects, influence strategic direction, and ensure alignment with SEC Regulations under the Investment Advisers Act of 1940.
  • The position offers a comprehensive benefits package including medical, dental, vision, life insurance, retirement savings, and paid time off.

Matching Summary

Match Score: 75

** Chartwell Investment Partners is seeking a Compliance Director for its Asset Management Services division. The role involves managing compliance functions, ensuring alignment with SEC regulations, and leading compliance initiatives within the firm. **

Salary

Not specified; Base salary included; Discretionary bonuses or commissions possible; Comprehensive benefits package available

Skills & Requirements

Must-have

  • Advanced knowledge of securities industry compliance
  • Expertise in Investment Advisers Act of 1940
  • Experience managing compliance monitoring activities
  • Ability to identify and resolve complex regulatory issues
  • Strong project management skills for long-term initiatives

Nice-to-have

  • Experience automating compliance systems
  • Ability to work collaboratively in a team environment
  • Strong verbal and written communication skills
  • Capacity to maintain big picture orientation under pressure

Key Requirements

  • Bachelor's degree required; Master's preferred
  • Minimum 10 years of compliance or legal experience
  • Minimum 5 years of management experience
  • Series 7 and 66 licenses preferred
  • Knowledge of SEC, FINRA, and state securities regulations

Work Rights

Not specified

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