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Director, Compliance
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- Working collaboratively with colleagues in EMEA and APAC on compliance projects and regulatory matters with global impact.
- Serving as the point person for and handling regulatory inquiries or exams (e.g. Federal Reserve Bank of New York) and internal audits of the holding company.
- Assisting with compliance due diligence for potential acquisitions.
- A minimum of 5+ years of relevant experience in compliance at an investment management firm
- Deep knowledge of the Investment Adviser, Investment Company Act, and FINRA and CFTC rules and regulations
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