Company Description

A well-regarded, long-standing, highly successful asset management company that offers institutional money management, mutual funds, and other investment management products and services seeks a Compliance professional with both broker-dealer and asset management experience.

Job Description

The ideal candidate will have experience working in an Asset Management or Broker Dealer background working in compliance. The candidate will provide compliance support for Marketing, Sales and Investment Adviser affiliate businesses to ensure compliance with the applicable laws, regulations and adherence to firm policy and procedures. The successful candidate will have strong business knowledge and interpersonal skills, be able to work effectively in a team environment and individually with ability to communicate complex issues clearly, concisely and effectively, to the business stake holders.

Responsibilities & Deliverables:

  • Serving in key relationship management role with various internal client businesses on behalf of the Compliance organization
  • Supporting senior management within Compliance and Legal Departments in addressing key business and regulatory projects
  • Performing administration, oversight and monitoring of documented policies and procedures
  • Responding to and addressing inquiries from various business units throughout the enterprise
  • Preparing metrics and other compliance reports for senior management and the Board of Directors
  • Researching and monitoring new and existing legislation


  • Four-year degree required. JD or MBA plus
  • 5 – 10 years broker-dealer or investment management firm experience, strongly preferred
  • Experience overseeing mutual fund wholesaler sales model
  • Familiarity with product distribution through third party RIA and Private Bank channels
  • Working knowledge of FINRA Rules, Investment Adviser Act and Investment Company Act
  • FINRA Series 7 preferred, Series 24 a plus
  • Strong communication and analytical skills
  • Ability to work independently and meet critical deadlines
  • Strong ethical commitment and detail oriented
  • Willingness and ability to adjust to multiple demands, shifting priorities, and rapid change
  • A high level of proficiency in the complete MS Office suite is required, especially in Excel, Word and PowerPoint


Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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