Compliance Director - Asset Management

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Huxley Associates
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flag_no USA
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One of the largest investment management firms in Boston is adding a unique position to its compliance team, responsible for establishing the strategic direction of the program. This person should be a "jack of all trades" in the compliance arena, and needs to handle and oversee new controls based on regulatory risks, forensic audits, the code of ethics, and any other drivers they can identify that will shape the firm's control program. The Director is responsible for analyzing risks related to the firm's compliance structure and for investigating, reporting on, resolving, escalating, and addressing any actual or potential regulatory issues and compliance matters. This is a hands-on role that will require independent and critical thought, and necessitates a great deal of interaction with the investment team.

Additional Responsibilities:
  • Design and manage components of the compliance program, particularly the compliance monitoring of investment activities.
  • Develop strategic goals and objectives of the Compliance Department with respect to the monitoring program.
  • Analyze and interpret regulatory requirements (including new regulatory developments) to assess risks and ensure that the Compliance Department's monitoring activities meet regulators' requirements.
  • Be a thought leader in the regulatory and compliance space, and leverage that research to direct the firm's initiatives.

  • Bachelor's degree; advanced degree in accounting, law, tax, finance (or similar) and/or industry certification (such as CPA) preferred.
  • 5-15 years experience as a Compliance professional
  • Strong written, verbal, and interpersonal communication skills.
  • Understanding of investment management operations

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