Director, Compliance - SLC Management
Core
Director of Compliance supporting the execution and enhancement of the Asset Management Compliance Program through operational oversight, regulatory program administration, project management, and governance activities.
Role type
Senior IC compliance director (asset management)
Builds
Compliance frameworks, regulatory filings, operational controls, and governance reporting
Domain
Asset Management / Financial Services
Deliverable
dashboards & analysis
Required skills
regulatory knowledge, project management, compliance operations, risk assessment, stakeholder partnership, compliance technology, reporting solutions
Preferred skills
none stated
Technologies
compliance technology platforms, workflow management tools, reporting solutions
Responsibilities
Administer registered investment adviser compliance program across multiple jurisdictions; Manage day-to-day execution of regulatory filings (Form ADV, Form PF, NFA, OSC, FCA); Coordinate annual compliance reviews and risk assessments; Monitor operational controls and escalate issues; Prepare compliance dashboards, metrics, and management reporting; Partner with Legal, Operations, Technology, Finance, Distribution, and investment teams.
Seniority
Director, strategic oversight & execution