Senior Manager, Compliance
$130,000–$160,000 year
HybridBethesda, Maryland, United States
Job Summary
Develop and implement compliance policies and procedures while acting as the Chief Compliance Officer's deputy during absences. Proactively identify, manage, and resolve compliance issues by administering a risk-based testing program and monitoring new regulatory requirements. Serve as an internal and external subject matter expert for registered investment advisers, ETFs, mutual funds, CPOs, and CTAs. Manage key service relationships with regulatory agencies, SROs, and providers, benchmarking policies against industry best practices. Provide counsel and training to sales, marketing, strategy, and portfolio management staff, reviewing prospectuses and advertising materials to ensure conflicts of interest are disclosed.
Required Qualifications
- BS or BA
- JD
- 10+ years' experience in compliance role for registered investment company
- Familiarity with fund distribution, broker-dealer and investment advisor issues
- 10+ years' experience working with SEC, FINRA, CFTC and other securities agencies
- 10+ years' experience writing and implementing policies and procedures
- 10+ years' experience conducting audits
- Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940 and related regulations
- Series 63, 7, & 24 licenses
Desired Qualifications
- Ability to act as a Deputy in absence of Chief Compliance Officer
- Excellent analytical skills
- Excellent organizational skills
- Strong verbal and writing skills
- Ability to work independently on assigned tasks as well as to accept direction as needed
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