Director, Asset Management Compliance

Responsibilities

• Perform Operational Due Diligence (ODD) of third‑party fund managers of alternative investment products
• Maintain compliance oversight programs that require continuous assessment of improvement opportunities and regulatory changes
• Evaluate the compliance environment to assess strengths or weaknesses of controls that support products and services
• Foster strong partnerships with key business partners to support the expansion of solutions‑based products and fund offerings

• Bachelor’s degree or equivalent
• 10+ years of compliance, risk, and/or regulatory experience in the financial services industry
• Experience supporting alternative investment products and/or private funds (preferred, not required)
• Strong understanding of federal securities laws, including the Investment Advisers Act of 1940
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical and problem‑solving skills with an ability to understand complex issues and regulatory requirements
• Drive to evaluate opportunities for process improvement through technology solutions
• Strong organizational skills and attention to detail

• Certifications & Qualifications

• Bachelor's degree