What are the responsibilities and job description for the Director of Compliance position at Atlas Search?
As a Compliance Director, you will support all aspects of the firm's compliance team in ensuring adherence to the regulatory and compliance requirements under our compliance programs. Your responsibilities will include assisting in developing, implementing, and maintaining the firm's compliance programs, conducting compliance training, testing our policies and procedures, and managing compliance software and systems. The ideal candidate should have a strong understanding of and experience in the federal securities laws applicable to alternative asset managers.
Responsibilities
• Ongoing maintenance of the compliance programs, including drafting and
updating policies and procedures, training employees, and assisting in compliance testing and
preparation for and responding to regulatory examinations.
• Provide compliance advice to investment teams and employees on compliance policies and
procedures.
• Assisting in the preparation of regulatory filings (Form ADV, Form PF, 13F, 13H, lobbyist registration,
etc.).
• Assist with the drafting and preparation of the 206(4)-7 annual review report.
• Monitor and advise on conflicts of interest.
• Assist with reviewing and approving marketing materials.
• Assist with compliance testing around code of ethics, investment allocations, expenses, valuation,
investment guidelines, etc.
• Assist with monitoring and approval of expert networks and expert network calls.
• Prepare compliance training materials and conduct new hire/ad-hoc compliance training throughout the year.
Salary : $175,000 - $200,000
