Director, Compliance Advisory - Investments

Page Executive; Boston (MA); On-site; Confidential; Full time

Job summary

A global investment organization is seeking a Compliance Officer to lead compliance programs and shape the compliance strategy across its investment adviser entities. The successful candidate will support the Chief Compliance Officer and collaborate with various teams on compliance matters. This role requires 15+ years of experience in the asset management industry and expertise in the Investment Advisers Act. A Bachelor's degree is required, and an MBA is preferred. The position offers a competitive salary between $127,000 and $210,000.

Qualifications

• 15+ years of compliance experience within the asset management industry.
• Strong expertise in the Investment Advisers Act.
• Experience with complex investment strategies is advantageous.

Responsibilities

• Support the Chief Compliance Officer in compliance programs design.
• Serve as an advisor on compliance considerations for new initiatives.
• Help cultivate a compliance culture by promoting regulatory awareness.
• Draft and enhance policies aligned with the Investment Advisers Act.
• Prepare regulatory filings and documentation.
• Oversee compliance risk assessments and develop mitigation plans.
• Assist with regulatory examinations and inquiries.
• Analyze complex regulatory issues and provide risk-aligned recommendations.
• Manage priorities across multiple business lines with strong discipline.
• Communicate with senior leadership, clients, and regulators.

Skills

Compliance expertise

Regulatory awareness

Strong communication skills

Project management

Analytical skills

Education

Bachelor's degree

MBA

Job description

• Lead compliance programs for multiple investment adviser entities
• Shape advisory compliance strategy across complex product platforms

About Our Client

A global investment organization offering a diverse suite of asset management and advisory products. The firm emphasizes strong governance, a forward‑looking risk culture, and disciplined oversight across all investment and operational activities.

Job Description

• Support the Chief Compliance Officer in designing and managing compliance programs for affiliated registered investment advisers
• Serve as a key advisor to investment, product, legal, distribution, and operations teams on compliance considerations related to new business initiatives and product development
• Help cultivate a strong compliance culture by driving awareness of regulatory expectations and encouraging early incorporation of compliance perspectives
• Draft, review, and enhance policies and procedures aligned with the Investment Advisers Act and other applicable regulations
• Prepare required regulatory filings and documentation
• Oversee periodic compliance risk assessments and contribute to the development of mitigation plans
• Assist with regulatory examinations, inquiries, and related responses
• Analyze complex regulatory or business issues and provide practical, risk‑aligned recommendations
• Manage competing priorities across multiple affiliated business lines with strong project management discipline
• Communicate clearly and confidently with senior leadership, clients, and regulatory bodies

The Successful Applicant

• Bachelor's degree required; MBA preferred
• At least 15 years of compliance experience within the asset management industry, with strong expertise in the Investment Advisers Act
• Experience with alternatives or complex investment strategies is advantageous
• Strong communication skills with the ability to engage senior executives and regulators
• Ability to independently evaluate regulatory questions, propose practical solutions, and drive execution
• Strong organizational, analytical, and project‑management capabilities

What's on Offer

• Competitive annual salary ranging from $127,000 to $210,000 (USD).
• Leadership role with significant influence over investment adviser compliance strategy
• Opportunity to shape regulatory preparedness and strengthen cross‑functional governance