Compliance Director - Distribution - Investment Management
Location New York
Consultant Henry Smith
Date posted June 22, 2017
Top tier Global Investment Management firm requires a compliance Director to cover all aspects of distribution compliance including marketing, sales and distribution technology.
Top tier Global Investment Management firm requires a compliance Director to cover all aspects of distribution compliance including marketing, sales and distribution technology. The role will involve providing advice and guidance to the business in order to satisfy all external regulatory obligations and client contractual requirements.
A solid understanding of the regulatory environment governing Investment Management and Distribution compliance is required and prior experience within the broker dealer industry is also a plus.
With significant changes to regulations affecting the financial services industry, the individual must be able to run workstreams critical to the firm’s overall compliance profile.
Duties will entail -
- To consider the implications of regulatory requirements relating to distribution of asset management products
- Documentation and dissemination of relevant policy and, where necessary, procedures to promote client contractual, legislative and regulatory compliance
- Main point of contact for all inquiries relating to distribution, sales and marketing compliance
- Assess the impact of legislative changes to the investment management sector, and ensure the business units are fully informed
- Be the main point of contact for both the business as well as for external clients with respect to compliance matters
- Continuous oversight of compliance training and education relating to distribution throughout the business.
Suitable candidates will possess -
- 8+ years relevant experience in asset management compliance or legal positions with a depth of knowledge specific to distribution compliance
- Broker Dealer experience is also a plus
- A Juris Doctor would be preferred
- Excellent regulatory knowledge, specifically related to Investment Advisers Act of 1940
- Excellent written and verbal communication skills
- Ability to work in a team environment and deal with stakeholders at all levels of seniority