AM Compliance Director

A New York asset management firm is hiring an Asset Management Compliance Director to support its compliance program. The role covers SEC-registered adviser compliance, key initiatives, and regulatory guidance for senior stakeholders. You would work across global teams in a collaborative culture with flexible working and strong development opportunities, offering the chance to make a meaningful impact.

Key Requirements:

As Asset Management Compliance Director, you will oversee key parts of the firm’s compliance program in New York. The role includes supporting fund launches, managing compliance processes, and monitoring existing funds to reduce risk. You will lead core compliance activities such as conflicts reviews, personal trading oversight, registrations, and employee training. You will also advise business leaders on regulatory matters, collaborate with global teams, and handle SEC/NFA filings and client materials. In addition, you will support regulatory exams and review compliance controls to strengthen the firm’s overall framework.

• Support and oversee compliance programs for SEC-registered investment advisers.
• Help launch new funds, manage risk, and support existing fund operations.
• Lead core compliance activities, including conflicts reviews, personal trading, registrations, and training.
• Advise business leaders on regulatory matters and collaborate with global compliance teams.
• Prepare regulatory filings, review client materials, support exams, and monitor compliance controls.

Key Responsibilities:

You bring strong compliance experience from SEC-registered investment advisers or hedge funds. Your background and qualifications enable you to work effectively in complex regulatory environments. You have solid knowledge of SEC and NFA requirements and can manage filings accurately. You are skilled at overseeing compliance programs, improving processes, and building strong relationships across teams. Your analytical thinking and clear communication make you a reliable leader who supports both compliance and business goals.

• Bachelor’s degree in law, finance, business, or a related field.
• At least five years of compliance experience with an SEC-registered adviser or hedge fund.
• Strong knowledge of SEC investment adviser rules, filings, and NFA requirements.
• Experience managing complex compliance programs in financial services.
• Excellent analytical, communication, collaboration, and time-management skills.

What sets this company apart:

This company stands out for its collaborative culture, flexible working arrangements, and strong commitment to professional development. It fosters an inclusive environment where employees are supported, knowledge is shared across global teams, and high ethical standards are consistently maintained. Joining the firm offers the opportunity to grow your career while contributing to a respected organization known for integrity and teamwork.

What’s next:

If interested in this position, please contact Daniela Garcia at daniela.garcia@robertwalters.com