Director of Compliance

Howard-Sloan Search; Jackson (MS); On-site; USD 140,000 - 210,000; Full time

Job summary

Howard-Sloan Search represents a mid-sized Investment Management firm seeking a Compliance Director to support the CCO in administering and enhancing the firm's compliance program for an SEC-registered investment adviser managing private funds.

The role involves day-to-day compliance activities, risk-based monitoring, regulatory filings, SEC examinations and investigations, and providing guidance across the organization.

Qualifications

• Bachelor's degree required in a relevant field.
• 5–10 years of compliance experience with an SEC-registered adviser.
• Strong knowledge of the Investment Advisers Act of 1940 and SEC rules.
• Ability to translate regulations into practical policies and controls.

Responsibilities

• Support management and enhancement of the compliance program per the Investment Advisers Act.
• Stay updated on regulatory developments and update policies and controls.
• Conduct risk-based compliance testing and monitoring of advisory activities.
• Assist with Form ADV, Form PF, and other regulatory filings.
• Support SEC examinations, investigations, and regulatory inquiries.
• Monitor compliance with fund documents, guidelines, side letters, and investor obligations.
• Administer Code of Ethics, including personal trading and conflicts.
• Maintain books and records and oversee compliance calendar.
• Assist with annual compliance reviews and risk assessments.
• Conduct due diligence and oversight of third-party service providers.
• Provide compliance training to employees.
• Participate in compliance initiatives and process improvements.

Skills

Regulatory compliance

Risk-based testing

Policy development

Regulatory filings

Training & guidance

Investment Advisers Act knowledge

Education

Bachelor's degree

Tools

Form ADV

Form PF

SEC examinations

Job description

A mid sized Investment Management firm seeks a Compliance, Director to support the CCO in administering and enhancing the firm's compliance program for an SEC-registered investment adviser managing private investment funds.

You're self directed & will be managing day-to-day compliance activities, conducting risk-based monitoring and testing, supporting regulatory filings and SEC examinations & investigations, providing compliance guidance across the organization.

Responsibilities

• Support the management & ongoing enhancement of the firm's compliance program in accordance with the Investment Advisers Act of 1940.
• Keep up to date w/ regulatory developments & recommend updates to policies, procedures, & internal controls.
• Conduct risk-based compliance testing and monitoring of advisory activities, trading, valuation, expense allocations, conflicts of interest, marketing, & operational processes.
• Assist with the preparation & maintenance of Form ADV, Form PF, & other regulatory filings.
• Support SEC examinations & investigations, regulatory inquiries, investor due diligence requests, and internal audits.
• Monitor compliance with fund governing documents, investment guidelines, side letters, and investor-specific obligations.
• Administer the firm's Code of Ethics, including: personal trading, certifications, gifts and entertainment, outside business activities, political contributions, & conflicts of interest.
• Maintain & organize required books and records & oversee the firm's compliance calendar.
• Assist with annual compliance reviews, risk assessments, & development of testing plans.
• Conduct compliance due diligence & ongoing oversight of third-party service providers.
• Provide compliance, guidance and training to company employees.
• Participate in compliance initiatives & on going process improvements

Qualifications:

• Bachelor's degree required.
• 5–10 years of compliance experience with an SEC-registered investment adviser, private fund manager, or alternative investment firm.
• Strong knowledge of the Investment Advisers Act of 1940 and SEC regulations applicable to private fund advisers.
• Understanding of private fund operations, fiduciary obligations, valuation governance, expense allocations, and conflicts of interest.
• Expertise in analyzing and applying SEC regulations to non-traditional investment structures, with the ability to assess regulatory implications and ensure ongoing compliance.