Senior Global Compliance Director – Asset Management

JCW Group; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

JCW Group is hiring for a senior compliance position in New York, aimed at overseeing global compliance monitoring and supporting SEC, FINRA, and Canadian regulatory needs. The ideal candidate will have over 10 years of compliance advisory experience in the financial services sector. Knowledge of SEC/FINRA regulations and experience with registered investment advisers or broker-dealers are crucial. This role will involve direct interaction with stakeholders and regulatory bodies.

Qualifications

• 10+ years of compliance advisory experience in financial services.
• Direct experience supporting a registered investment adviser and/or broker-dealer.
• Strong SEC/FINRA knowledge with Canadian regulatory exposure being a plus.

Responsibilities

• Oversee global compliance monitoring across various regulations and codes.
• Conduct reviews of advertising rules for marketing and collateral.
• Act as a contact point for SEC, FINRA, and OSC.

Skills

Compliance advisory experience

SEC/FINRA knowledge

Canadian regulatory exposure

Advising senior stakeholders

Job description

JCW Group is hiring for a senior compliance position in New York, aimed at overseeing global compliance monitoring and supporting SEC, FINRA, and Canadian regulatory needs. The ideal candidate will have over 10 years of compliance advisory experience in the financial services sector. Knowledge of SEC/FINRA regulations and experience with registered investment advisers or broker-dealers are crucial. This role will involve direct interaction with stakeholders and regulatory bodies.