Director of Compliance Director of Compliance …

Selby Jennings Buyside
in Boston, MA, United States
Permanent, Full time
Be the first to apply
Negotiable
Selby Jennings Buyside
in Boston, MA, United States
Permanent, Full time
Be the first to apply
Negotiable
Selby Jennings Buyside
Director of Compliance at one if the worlds largest Asset Management companies

Responsibilities:

  • Serving as subject matter expert and help draft Strategic ADV brochure updates
  • Evaluate the effectiveness of established compliance processes and controls; and direct enhancements where appropriate
  • Implementing compliance policies and procedures
  • Enhance the compliance risk assessment process to focus on broker dealer risks
  • Understand and analyze complex financial, legal, operational, and regulatory requirements
  • Helping develop guidelines to manage conflicts of interest
  • Monitoring, identifying and resolving compliance issues

Qualifications:

  • 7+ years experience in Compliance or Risk within financial services
  • JD or advanced business degree preferred
  • Knowledge of the Investment Advisers Act of 1940, FINRA, DOL, and SEC regulations
  • Experience overseeing managed accounts required
  • Experience overseeing quantitative models and trading models within individual accounts
  • Ability to understand and analyze complex regulatory, legal, financial, and operational requirements
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