Director, Act Compliance

My client, a leading asset management firm based in Midtown is looking for a Director, 1940 Act / 33 Act Compliance professional. This person will be responsible for overseeing the compliance framework for registered investment products, including mutual funds, ETFs, closed-end funds, and other Securities Act registered offerings.

• Lead and enhance the compliance program for 1940 Act and 33 Act products, including policies, procedures, controls, and testing.
• Advise on new fund launches, product changes, and regulatory filings, including ETFs and other registered products.
• Partner with portfolio management, trading, capital markets, operations, and fund administration on day-to-day compliance matters.
• Oversee review of marketing, disclosure, shareholder communications, and fund documentation for compliance issues.
• Monitor regulatory developments and translate them into practical policies, controls, and training.
• Support board materials, compliance reporting, and annual program reviews where applicable.
• Identify and elevate compliance risks, remediation items, and control gaps.
• Coordinate with internal and external counsel, auditors, administrators, and regulators as needed.

• Bachelor’s degree required; JD, MBA, or equivalent advanced degree preferred.
• 8–12+ years of compliance, legal, regulatory, or operational experience in asset management or financial services.
• Strong knowledge of the Investment Company Act of 1940 and the Securities Act of 1933.