Director, Compliance Advisory - Investments

• Lead compliance programs for multiple investment adviser entities
• Shape advisory compliance strategy across complex product platforms

About Our Client

A global investment organization offering a diverse suite of asset management and advisory products. The firm emphasizes strong governance, a forward‑looking risk culture, and disciplined oversight across all investment and operational activities.

Job Description

• Support the Chief Compliance Officer in designing and managing compliance programs for affiliated registered investment advisers
• Serve as a key advisor to investment, product, legal, distribution, and operations teams on compliance considerations related to new business initiatives and product development
• Help cultivate a strong compliance culture by driving awareness of regulatory expectations and encouraging early incorporation of compliance perspectives
• Draft, review, and enhance policies and procedures aligned with the Investment Advisers Act and other applicable regulations
• Prepare required regulatory filings and documentation
• Oversee periodic compliance risk assessments and contribute to the development of mitigation plans
• Assist with regulatory examinations, inquiries, and related responses
• Analyze complex regulatory or business issues and provide practical, risk‑aligned recommendations
• Manage competing priorities across multiple affiliated business lines with strong project management discipline
• Communicate clearly and confidently with senior leadership, clients, and regulatory bodies

The Successful Applicant

• Bachelor's degree required; MBA preferred
• At least 15 years of compliance experience within the asset management industry, with strong expertise in the Investment Advisers Act
• Experience with alternatives or complex investment strategies is advantageous
• Strong communication skills with the ability to engage senior executives and regulators
• Ability to independently evaluate regulatory questions, propose practical solutions, and drive execution
• Strong organizational, analytical, and project‑management capabilities

What’s on Offer

• Competitive annual salary ranging from $127,000 to $210,000 (USD).
• Leadership role with significant influence over investment adviser compliance strategy
• Opportunity to shape regulatory preparedness and strengthen cross‑functional governance

Contact

Lauren Van Manen

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JN-042026-6987264