Deputy Chief Compliance Officer Leader

Job Summary
We are seeking an experienced Deputy Chief Compliance Officer to join our team. This individual will have 10 years of experience in securities compliance and a passion for investment adviser and investment company compliance.

The successful candidate will have a strong working knowledge of SEC rules, including the Investment Company Act of 1940 and Investment Advisers Act of 1940. They will be responsible for reviewing fund and affiliate compliance policies and procedures, identifying and mitigating risks by developing new or improving existing compliance procedures.

Key responsibilities of this role include:

• Supervising compliance testing and ensuring compliance of affiliates, fund sub-advisors, and service providers.
• Managing and reviewing quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees.
• Reviewing and revising existing compliance policies and procedures. Staying abreast of new rules and regulations and developing procedures and compliance oversight testing of such procedures.
• Assisting the Chief Compliance Officer in various compliance-related matters.
• Being a subject matter expert and consulting on compliance-related issues.
• Helping prepare and present ongoing training on compliance policies to the compliance team.
• Leading, mentoring, and advising the compliance team to ensure all objectives and deadlines are met.

To be successful in this role, you will need:

• 10 years of securities compliance experience with a working knowledge of SEC rules.
• A Bachelor's Degree.
• Current experience in a senior role at an asset management/investment company with Adviser Act compliance experience.

We offer:
Microsoft Office