Director Asset Management Compliance

Lead asset management compliance administration at SLC Management through regulatory expertise, operational oversight, and a mix of in-office and virtual work.

As Director, Compliance, you will support the registered investment adviser compliance program across multiple jurisdictions. Your work spans regulatory filings, governance documentation, compliance operations, monitoring, and strategic initiatives. You will partner with Legal, Operations, Technology, Finance, Distribution, and investment teams.

• Administer compliance policies, procedures, inventories, and evidence repositories
• Coordinate annual compliance reviews and risk assessments
• Manage Form ADV, Form PF, NFA, OSC, and FCA filings
• Monitor controls, exceptions, attestations, training, and recordkeeping
• Prepare dashboards, trend analysis, and governance reporting

• Bachelor’s degree in Business, Finance, Economics, Law, or related discipline
• 7+ years of asset management and/or compliance experience
• Understanding of investment adviser regulations and compliance frameworks
• Experience supporting filings, governance programs, audits, and compliance operations
• Strong project management, analytical, organizational, and communication skills

Apply regulatory knowledge and operational discipline to strengthen SLC Management’s compliance framework across institutional asset management activities.