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Director, Compliance

Denver, CO

Our client is in search of a Director, Compliance to report directly to the General Counsel and Chief Compliance Officer. This person will be integral to the compliance organization and will be responsible for implementing the compliance strategy for the company as well as oversee all aspects of the compliance function.

Responsibilities:

  • Oversee all components of the compliance program including but not limited to, timely and accurate regulatory reporting, maintenance of compliance manuals and consistent monitoring of risks and requirements.
  • Develop, implement, and manage all compliance-related documents (e.g., Compliance Manual, Disaster Recovery, Personal Security/Insider Trading, Privacy Policy, Code of Ethics).
  • Maintain policies and procedures to ensure that all operations of the firm are conducted in compliance with applicable regulations.
  • Assist with the review of existing controls and procedures and implementing changes as agreed upon with management.
  • Work with the CCO to maintain and manage the registration and filings for the firm and its personnel with the appropriate regulatory agencies (e.g., SEC, FINRA) and serve as the primary contact with regulators during exams and inquiries.
  • Update and maintain regulatory registrations (e.g., Form ADV Part I and II, State Notice Filings, Investment Advisor Representatives and Registered Representatives).
  • Assist the CCO to provide direct senior management and staff on all issues concerning compliance rules, regulations, and procedures.
  • Conduct testing and monitoring of business activities, including the annual compliance audit, to ensure compliance with regulations and internal policies and procedures.
  • Maintain thorough understanding of federal securities rules and regulations governing the investment advisory industry through ongoing education and involvement with industry groups.
  • Liaise with General Counsel to provide ongoing advice in relation to implications of legislation and regulations affecting the business.
  • Manage the initial and ongoing training of the compliance program to all employees.
  • Assist with various client and vendor day-to-day operational support functions.

Requirements:

  • 10+ years of experience in risk, compliance, audit and/or relevant law (3+ years of supervisory experience).
  • BA/BS degree (econ, CS, finance or similar discipline preferred); MBA or JD preferred but not required.
  • Previous experience at a Registered Investment Advisory firm.
  • Deep understanding of compliance operations and significant SEC/FINRA experience; experience with state banking regulators also ideal.
  • An eye for detail, but a mind for strategy. Your job will daily move from 30,000 feet to microscopic review of first-of-their-kind policies and practices.
  • A refined, polished communication style that swiftly adapts to diverse audiences (from regulators to investors to engineering/product teams).
  • You take pride in mentoring and developing team members. You’ve managed a team of compliance professionals previously.
  • Interest and passion for maintaining an understanding of the new federal securities rules and regulations governing the investment advisory industry.

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