Investment Compliance Director

Atlantic Group; New York (NY); Hybrid; USD 175,000 - 225,000; Full time

Job summary

Atlantic Group is seeking an Investment Compliance Director in New York, NY to oversee regulatory compliance and advisory matters within an alternative investment management environment. The role partners with investment, legal, operations, and other teams to implement a robust compliance framework.

This position emphasizes governance, risk assessment, and leveraging automation and data analytics to enhance monitoring, with 5–10 years of experience and a JD preferred.

Qualifications

• Bachelor's degree in Finance, Business, Legal Studies, or related field; JD preferred.
• 5–10 years of investment management compliance or related regulatory experience.
• Strong knowledge of the Investment Advisers Act, private funds, and cross-border compliance.
• Experience with regulatory research, compliance monitoring, filings, and marketing review.
• Exposure to automation, AI, or data analytics tools preferred.
• Strong regulatory judgment, writing, communication, organization, attention to detail, problem-solving, and stakeholder management skills.

Responsibilities

• Regulatory advisory: analyze evolving investment management regulations and provide practical guidance on their impact across investment, fundraising, marketing, and operational activities.
• Compliance program: support compliance risk assessments, annual reviews, policies, procedures, controls, and broader initiatives designed to strengthen the compliance framework.
• Business advisory: partner with investment and business teams on compliance considerations related to funds, investment products, transactions, marketing activities, and strategic initiatives.
• Regulatory oversight: coordinate regulatory filings, examinations, information requests, internal reviews, and other compliance reporting obligations.
• Marketing compliance: review investor communications, marketing materials, disclosures, and due diligence documentation for compliance with applicable regulatory requirements.
• Compliance technology: leverage automation, data analytics, and AI tools to enhance compliance monitoring, risk assessment, controls, and operational efficiency.

Skills

Regulatory judgment

Analytical ability

Writing

Communication

Organization

Attention to detail

Problem-solving

Stakeholder management

Education

Bachelor's degree in Finance, Business, Legal Studies, or related

Juris Doctor (JD) preferred

Tools

Regulatory research tools

Compliance monitoring systems

Regulatory filings software

Automation / AI / data analytics tools

Job description

Job Overview – Investment Compliance Director

Compensation: $175,000–$225,000/year + bonus (up to $300,000 total compensation)

Location: New York, NY

Schedule: Monday to Friday (Hybrid)

Atlantic Group is hiring an Investment Compliance Director in New York, NY for our client, supporting regulatory compliance, investment advisory matters, and global compliance initiatives within an alternative investment management environment. This role will provide regulatory guidance, oversee key compliance processes, and partner with investment, legal, operations, and other business teams on evolving requirements and strategic initiatives. The ideal candidate has extensive investment adviser compliance experience with strong regulatory expertise and exposure to global or cross-border matters.

Responsibilities as the Investment Compliance Director:

• Regulatory Advisory: Analyze evolving investment management regulations and provide practical guidance on their impact across investment, fundraising, marketing, and operational activities.
• Compliance Program: Support compliance risk assessments, annual reviews, policies, procedures, controls, and broader initiatives designed to strengthen the compliance framework.
• Business Advisory: Partner with investment and business teams on compliance considerations related to funds, investment products, transactions, marketing activities, and strategic initiatives.
• Regulatory Oversight: Coordinate regulatory filings, examinations, information requests, internal reviews, and other compliance reporting obligations.
• Marketing Compliance: Review investor communications, marketing materials, disclosures, and due diligence documentation for compliance with applicable regulatory requirements.
• Compliance Technology: Leverage automation, data analytics, and AI tools to enhance compliance monitoring, risk assessment, controls, and operational efficiency.

Qualifications for the Investment Compliance Director:

• Education: Bachelor's degree in Finance, Business, Legal Studies, or a related field is required, with a Juris Doctor (JD) preferred.
• Experience: 5–10 years of investment management compliance, legal, regulatory, or related experience is required.
• Industry Knowledge: Strong knowledge of the Investment Advisers Act, private funds, alternative investments, and investment adviser compliance requirements is required, with global or cross-border regulatory experience preferred.
• Technical Skills: Experience with regulatory research, compliance monitoring, filings, marketing review, and compliance systems is required, with exposure to automation, AI, or data analytics tools preferred.
• Skills & Attributes: Strong regulatory judgment, analytical ability, writing, communication, organization, attention to detail, problem-solving, and stakeholder management skills are required.

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