Job Description:

Our client, a financial services firm, is seeking a Senior Compliance Officer to support the growth of its investment advisory programs and affiliated mutual fund complexes.  This position performs critical functions including providing regulatory advice and guidance to firm management, conducting periodic diligence on sub-advisers, product partners, & service providers, developing and maintaining policies and procedures, facilitating regulatory examinations, and performing compliance testing.

Key Responsibilities:

  • Partner with applicable business areas and outside service providers to provide timely advice and guidance regarding compliance with federal and state securities laws and regulations and internal policies and procedures.
  • Administer compliance program – conduct periodic oversight reviews of compliance policies and procedures pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act and provide written documentation of the results.
  • Conduct the review and on-going oversight of sub-advisers and mutual fund third-party service providers.
  • Review prospectuses, SAI, periodic reporting, advertising, and other disclosures.
  • Develop and update compliance policies and procedures.
  • Provide ongoing compliance support to the funds and the adviser.
  • Facilitate regulatory examinations of the firm’s Fund and Adviser affiliates.


  • Series 7, 9, 10, 24, and 66 licenses required or must be obtained within 12 months of hire.
  • Minimum 3 years’ experience in Compliance within the asset management or mutual fund industry, working with a regulatory body (e.g. SEC, FINRA, or state regulator), or CPA/consulting firm.
  • Comprehensive understanding of industry rules and regulations pertaining to the Investment Advisers Act and Investment Company Act.
  • Ability to interpret regulations and apply to due diligence, oversight reviews, and development and review of policies and procedures. Strong leadership and interpersonal skills are essential.
  • Resolve complex issues through interpretation and application of industry regulations and firm business practices.
  • Must have excellent written and verbal communication skills.
  • Bachelor’s degree in Finance, Accounting, or other quantitative subject and/or MBA preferred.

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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