Director of Compliance - Atlantic Group : Job Details

Location: Midtown Manhattan (3 days/week in office)

Compensation: $200K-$225K base + bonus

Our Client, a $15+ billion alternative asset management firm is looking to add a Director of Compliance to their legal and compliance team. The person in this role will report directly to the CCO

Responsibilities:

• Work with the firm's General Counsel & CCO in managing the firm's overall compliance program

• Stay up to date with evolving regulations and industry trends, and proactively adapt the compliance program as needed

• Draft, implement, and maintain the firm's compliance policies, procedures and manuals to ensure adherence to regulatory requirements and industry standards

• Spearhead the firm's annual compliance review and monthly and quarterly testing processes

• Conduct ongoing monitoring and surveillance of trading activity. Develop processes and tools that result in additional improvements to the existing testing framework

• Conduct surveillance on investments for insider trading, money laundering, and market manipulation

• Review, assess and oversee compliance-related activities of third-party service providers and vendors, ensuring their adherence to regulatory requirements and the highest standards of governance

• Proactively identify procedures and protocols for the firm in being “exam ready” for any future SEC exams

Qualifications:

• 10+ years of total work experience, in a Compliance role or related fields

• Experience working on compliance matters related to investment advisers and hedge funds or private equity funds preferred

• Strong verbal and written communication skills

• Superior attention to detail, strong organizational skills and a proactive approach to tasks

• Strong stakeholder management skills, and ability to execute projects cross-functionally

• Familiarity with utilizing Compliance systems & tools (ex. ComplySci, Global Relay)

• Experience with SEC exams and other regulatory inquiries

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