Director of Compliance - Connecticut, United States - Roots Recruiting

Roots Recruiting Connecticut, United States

2 weeks ago

Description

Director of Compliance to become CCO (Fairfield, CT): Our client is seeking a Director of Compliance to join their growing team. The Director of Compliance will be responsible for overseeing and managing all aspects of the company's compliance program, ensuring adherence to regulatory requirements and internal policies. This role would turn into a CCO position over the next months.

Responsibilities:

Manage and "own" the firm's overall compliance program; including the firm's compliance with SBA regulations as it relates to our SBIC Funds
Manage and "own" the firm's overall ESG program and lead the ESG Committee
Provide compliance monitoring and testing related to Rule 206(4)
Provide situational and ongoing advice to senior management/investment professionals on compliance with laws and regulations, monitor business line performance with compliance, address any potential gaps/issues and remediate
Review and approve external communications including marketing materials
Prepare regulatory filings
Manage robust risk identification and compliance testing programs including risk matrixing, identifying opportunities for compliance testing and internal control enhancements, and investigating causes of unusual trends or activities that can be indicative of compliance issues
Serve as a resource for investment professionals and outside counsel; attend Investment Committee meetings
Ensure and document investment allocations across Fund complex are in compliance with internal guidelines
Supervise the firm's outside compliance consultant's work
Manage projects involving third-party services providers and management of vendor due diligence
Assist with the creation and implementation of privacy and data policies, including compliance with various new regulations such as GDPR

Requirements:

Bachelor's degree with a strong record of academic achievement
5+ years of hands-on asset management compliance experience
Strong understanding of the Investment Advisers Act of 1940 and other rules and regulations applicable to RIAs that manage pooled investment vehicles and separately managed accounts
Adept at collaboration with and advising a diverse set of individuals and constituencies, including senior management
Highly organized, detail-oriented, and analytical
Ability to multitask and prioritize competing demands to meet deadlines
Experience with ComplySci is a plus

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