What are the responsibilities and job description for the Compliance Director - Marketing Review position at Larson Maddox?
A leading investment firm specialized in secondary markets is seeking a Compliance Director to join their legal and compliance team. This exciting role offers the opportunity to work closely with the Chief Operating Officer, Legal Counsel, and Compliance Manager to build and deliver best-in-class regulatory compliance arrangements for the firm's Private Wealth business.The Compliance Director will collaborate with key internal and external stakeholders to ensure effective compliance with regulatory standards across a variety of international markets. This is an excellent opportunity to be part of the firm's global expansion with high visibility from senior leadership and stakeholders.
Responsbilities : Develop, implement, and enforce the firm's compliance programDesign and operate the firm's monitoring / testing plansAssist with onboarding and reviewing of investors / providersAdvise the greater business on regulatory matters
Desired Qualifications : Strong degree in a relevant field from a recognized university or business school.8 years of experience in investment advisory, financial institutions, or a relevant service providerDeep knowledge of the Investment Advisers Act and other relevant regulations.Series 24 (or willingness to obtain) strongly preferred!
