A US Investment Management firm is seeking an Investment Compliance Manager.

An SEC registered investment adviser that manages fixed income assets, including public bonds, private placements, derivatives and alternative investments; the firm manages over $100 Billion assets, and is a subsidiary of a Global Asset Management firm with over $350 billion AUM.  The firm is also registered as a Limited Purpose Broker Dealer, to facilitate their Institutional Markets Distribution process.

This is a newly created, add to staff position, due to the firm’s continued growth and success.  Their client base includes corporate, union and public pensions, endowments, foundations, insurance companies, subadvisory, family offices and wealth managers.


  • Distribution and client service: Lead distribution and client service related compliance activities, including forging strong business partnerships.
  • Support marketing reviews and liaison with distribution team and Compliance marketing review team members.
  • Broker/dealer: Perform ongoing broker/dealer compliance monitoring, training, and administration.
  • Lead Compliance topics including policies, testing and annual reviews, in assigned areas (generally related to distribution, marketing, and client services).
  • CTA: Administer the firm’s Commodity Trading Adviser compliance program including policy administration, testing, monitoring, reporting, and training.
  • Training: Lead compliance related training responsibilities in assigned areas including technical guidance and logistical support.
  • Administer compliance policies and procedures; maintain Compliance Manual in accordance with SEC regulations and consistent with firm practices.
  • Perform annual reviews and testing to assess policies and procedures effectiveness.
  • Draft disclosures and update filings to ensure compliance with federal and state regulatory requirements, including the Form ADV Part I and 2a.
  • Advise the Chief Compliance Officer of (a) problem situations and recommend corrective actions, (b) new statutes and regulations (c) recommend procedures for implementing such new statutes and regulations.
  • Prepare appropriate documentation and respond to compliance questions internally and externally with clients.
  • Assist in maintaining records and compiling information requested for SEC and divisional audits; interface with SEC auditors and other auditors.

Required Qualifications:

  • Bachelor’s degree in business or related field, or equivalent education and experience.
  • Minimum of 8+ years relevant work experience in the industry in legal research, legal contracts, compliance, claims or underwriting.

Preferred Qualifications:

  • Solid academic background with strong quantitative/analytical skills.
  • Prior experience in highly automated environment and/or high degree of comfort and fluency with computers and technology.
  • Outstanding oral and written communication skills.
  • Ability to work in a small-team environment and to work independently and to multi-task with minimal supervision.
  • Attention to detail and organizational skills, with ability to multi-task deliverables in a fast paced environment
  • A strong sense of accountability with a drive for results.
  • Professional maturity and ability to be discreet in working with highly sensitive information
  • Bachelor’s degree required.
  • Experience in the investment advisory industry in a Compliance, Research, Risk or Auditing role and 3 years of professional experience in the financial services industry.


212-997-3169 / mtuller@compliancesearch.com

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