Compliance Manager​/Director

The Compliance Manager/Director serves as or supports the 38a-1 Chief Compliance Officer and oversees compliance for client series trusts. Knowledge of the 1940 Act and familiarity with other relevant securities laws is required. The Compliance Manager/Director will engage in regular direct interaction with clients and team members.

• Support and/or serve as the designated Chief Compliance Officer for investment trusts administered by Nottingham;
• Maintain regulatory compliance calendars;
• Attend Board meetings, present reports to the Boards and interact with Boards between meetings;
• Develop, maintain and implement/oversee the maintenance and implementation of the Trusts’ compliance manuals and related policies and procedures;
• Perform annual due diligence reviews and testing of the Trusts’ Advisors and Sub-Advisors;
• Manage code of ethics processes and reporting for Trustees and Officers;
• Provide real-time guidance to clients and internal operational teams regarding 1940 Act compliance issues;
• Assist with and participate in regulatory examinations;
• Monitor and proactively communicate regulatory developments.
• Assist in the implementation of changes in relation to regulatory developments.

• Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934;
• Strong written and oral communication skills;
• Client service mindset;
• Ability to multi-task and prioritize in a fast paced environment;
• Strong attention to detail;
• Ability to work effectively as a self-started and within a team environment;
• Ability to work with a sense of urgency to meet deadlines and prioritize issues and tasks;
• Effective problem solving and organizational skills.

• Meaningful experience with 1940 Act compliance;
• Hands on compliance experience with a registered investment trust, investment advisor to 1940 Act funds, or a fund service provider is preferred;

Mid-Senior level

Full-time

Legal