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Director of Investment Management Compliance

New York, NY

Director of Investment Management Compliance

The  Director of Investment Management Compliance (Mutual Fund & RIA Chief Compliance Officer) position reports directly into the organization's overall Chief Compliance Officer. Ideal candidates will have at least ten years of experience working for a mutual fund/investment advisor in a senior compliance capacity.  Candidate must be highly conversant with relevant rules & regulations under the Investment Company Act of 1040, the Investment Advisoer Act of 1940, and other applicable securities laws.

Responsibilities include:

  • Serve as the Mutual Fund & Registered Investment Adviser Chief Compliance Officer
  • Responsible for maintaining and enhancing 38a-1 and 206(4)-7 compliance programs
  • Oversight of the preparation of Mutual Fund & Registered Investment Adviser compliance program board materials for periodic updates to the board
  • Oversight of and ongoing enhancement to the testing & surveillance program for the Mutual Funds & Registered Invest Adviser operations
  • Awareness & tracking of releant SEC, NFA/CFTC develop & industry practices
  • Work closely with portfolio managers, traders, fund accountants and othe investment, finance & operational professionals to design & implement adequate operational policies & procedures
  • Manage a team of compliance professionals & mentoring junior staff members


  • Senior level compliance experience in the mutual fund and/or a registered investment advisor, e.e. CCO level a plus
  • Deep knowledge of relevant rules & regulations under the Investment Compnay Act of 1940 and the Investment Advisers Act of 1940
  • Ability to identify & escalate issues where appropriate, as well as take a diplomatic approach in working with Mangement staff at all levels, as well as legan & other operational partners
  • Ability to successfully interact with regulators & auditors, as well as effectively manage regulatory examinations
  • Ability to effectively present & communicate skills with the ability to speak with impact, influence outcomes, & simply complex topics into actionable recommendations for decision-making
  • Knowledge of operation & utilization of proprietary mutual funds within a bank/trust company/wealth management environment processes.
  • Familiarity with compliance management software, a plus , e.g. MyComplianceOffice (MCO) or similar platforms