Director Compliance
About:
A mission‑driven financial services organization is seeking an experienced compliance leader to serve as Chief Compliance Officer for a registered investment adviser and a family of registered funds. This role provides enterprise oversight of regulatory compliance while supporting a values‑based investment mission.
Responsibilities:
- Lead and maintain compliance programs for a registered investment adviser and registered funds
- Design and execute risk assessments, monitoring, testing, and documentation
- Support and participate in key governance and risk committees; escalate issues and drive remediation
- Oversee compliance oversight of sub‑advisers and service providers, including due diligence and annual reviews
- Manage regulatory exams, audits, and inquiries; ensure ongoing exam readiness
- Advise investment, operations, legal, and distribution teams on compliant products, disclosures, and marketing
- Deliver targeted compliance training and reinforce an ethical, fiduciary culture
- Lead and develop a team of compliance professionals
Requirements
- Bachelor's degree required; advanced degree or certifications a plus
- 10+years of compliance experience supporting registered funds and investment advisers
- Deep knowledge of the Investment Advisers Act, Investment Company Act, and related regulations
- Experience with mutual funds/ETFs and core investment operations
- Proven leadership in regulatory exams and remediation
- Strong communication skills, including board‑level reporting
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