Director of Compliance (Asset/Wealth Management)

Atlantic Group; New York (NY); Hybrid; USD 200,000 - 225,000; Full time

Job summary

A leading company in asset and wealth management is seeking a Director of Compliance. This hybrid role involves overseeing compliance efforts with regulatory bodies while ensuring adherence to investment laws. Ideal candidates will have significant experience in compliance within the financial services sector, with a focus on driving compliance initiatives and risk management.

Qualifications

• 10-15 years in investment advisor compliance within asset or wealth management.
• Expertise in SEC and FINRA regulations.
• Strong leadership, problem-solving, and organizational skills required.

Responsibilities

• Develop and maintain compliance policies and procedures.
• Oversee SEC and FINRA filings and audits.
• Lead compliance training programs and manage risk assessments.

Skills

Leadership

Problem-solving

Organizational skills

Communication

Judgment

Education

Bachelor’s degree in Law, Finance, or related field

Advanced degree (JD, MBA, or LLM)

Tools

Compliance technologies

Job description

Job Overview – Director of Compliance (Asset/Wealth Management):
Lead compliance efforts with our client as a Director of Compliance (Asset/Wealth Management) in New York, NY. This hybrid role suits a seasoned professional ensuring SEC, FINRA, and AML compliance. Work with executives, portfolio managers, and regulators to drive compliance initiatives and risk management across asset and wealth management operations.

Compensation: $200,000 – $225,000/year base($250,000 – $300,000 All-In)
Location: New York, NY
Schedule: Monday to Friday (Hybrid)

Responsibilities as the Director of Compliance:

• Compliance Oversight: Develop and maintain policies, procedures, and monitoring systems to ensure SEC and FINRA compliance.
• Investment & Trading Compliance: Oversee investment activities, ensuring adherence to insider trading, AML, and market regulations.
• Personnel Compliance: Manage personal trading, employee registrations, licensing, and ethical standards.
• Regulatory Filings & Audits: Oversee SEC and FINRA filings, audits, and annual compliance reviews.
• Training & Risk Management: Lead compliance training programs and ensure firm-wide awareness of regulatory updates.
• Regulatory & Executive Collaboration: Liaise with regulators, auditors, and senior leadership on compliance risks and industry changes.

Qualifications for the Director of Compliance:

• Education: Bachelor’s degree in Law, Finance, or a related field required; an advanced degree (JD, MBA, or LLM) is highly preferred.
• Experience: 10-15 years in investment advisor compliance within asset or wealth management, financial services, or a broker-dealer (BD) or registered investment advisor (RIA) environment.
• Technical Proficiency:Expertise in SEC and FINRA regulations, including the Investment Advisers Act and Securities Exchange Act, with proficiency in compliance technologies.
• Industry Knowledge:Expertise in investment advisor and broker-dealer compliance, including hedge funds, private equity, mutual funds, and ETFs, with SEC and FINRA examination experience preferred.
• Skills & Attributes: Strong leadership, problem-solving, and organizational skills, combined with excellent written and verbal communication, professionalism, and sound judgment.
• Compliance & Risk Management: Experience advising and interacting with portfolio managers and traders, with a solid understanding of AML compliance, risk assessments, and regulatory oversight.

Application Notice:Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria,Atlantic Groupwill keep your resume on file for future opportunities and may contact you for further discussion.