Director of Compliance
This position is responsible for broadly assisting compliance department staff and the Chief Compliance Officer (“CCO”) in ensuring that the firm is in compliance with applicable regulatory requirements. Some specific duties include: assisting in reviewing fund and client account activity to detect potential compliance problems; monitoring compliance with the firm’s Code of Ethics for Personal Trading; and review of the firm’s Institutional Marketing campaigns (i.e., presentations, market commentaries, RFP responses, consultant database review, marketing related website content and similar ad hoc marketing pieces) to ascertain if they are in compliance with GIPS® and all regulatory requirements.
DUTIES AND RESPONSIBILITIES:
- Interprets, provides advice, administers and monitors the Firm’s Code of Ethics and STAR Compliance System for personal trading along with all required employee reporting requirements.
- Assists the CCO with onsite due diligence meetings and certifications for our institutional clients.
- Participates in complying with audits scheduled by external auditors. Reviews SSAE16 reports of service providers and prepares assessments.
- Assists in portfolio monitoring for SEC registered funds, institutional accounts and UCITs
- Participates in the review of the firm’s Institutional Marketing campaigns; this includes presentations, market commentaries, RFP responses, consultant database review, marketing related website content and similar ad hoc marketing pieces and approving the firm’s marketing and advertisement materials to ascertain they are complying with GIPS® and all regulatory requirements.
- Help maintain compliance files and records including product/account documentation.
- Assist with preparation and filing with the SEC of 13F report, Form N-PX, Forms 3, 4 and 5 and other required regulatory reports.
- Assists with revision of procedures, Code of Ethics and Compliance Manual and updating & filing of Form ADV.
- Performs other duties as required by DPIM-CCO or other senior management.
This job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities required for the position. Other duties may be assigned from time to time by management.
- BA/BS degree with 3-6 years of compliance experience or, an equivalent combination of education and experience.
- Must possess knowledge of the investment business and investment terminology.
- Some experience working with Institutional Marketing Review preferred.
- Some experience with other rules and regulations under the Securities Act of 1933, ERISA, FCPA and FINRA a plus. Must possess strong analytical aptitude.
- Excellent PC skills with high proficiency using MS software and internet research capabilities.
- Detail-oriented with the ability to manage multiple projects simultaneously, establish priorities, work independently, handle interruptions and proceed with objectives without supervision.
- Excellent communication (verbal and written), presentation and time management skills.
- Ability to exchange complex information effectively to reach agreement in ambiguous or difficult situations.
- Collaborates with fellow team members to achieve objectives within the project timeline.
- Willingness to work in a hybrid office environment (i.e., combination of in-office and remote work).
- Sit for prolonged periods.
- Ability to operate a computer and communicate via telephone and computer technology.
- Lift up to 25 pounds.