Director of Compliance

5 days ago


new york city, United States Atlantic Group Full time

Location: Midtown Manhattan

Compensation: $225K-$300K total compensation


Job Description

The Legal and Compliance Department consists of the General Counsel, the Chief Compliance Officer, Associate General Counsels, and several paralegals, legal assistants and compliance professionals. The Legal and Compliance Department coordinates, oversees, and handles all legal, regulatory and compliance issues globally.


Key compliance responsibilities and tasks will include the following:

  • Analyze legal and regulatory changes, designing new policies and procedures to mitigate risks and leading regulatory change management process in partnership with operations and investment teams. Execute, monitor and test policies and procedures
  • Assist with administering Firm’s compliance policies, focusing on areas such a personal trading, insider trading, gifts and entertainment and political contributions
  • Advise investment team on regulatory compliance matters, including conflicts of interest, investment allocation, information sharing (public and private), and fund governance
  • Prepare and supervise a variety of regulatory filings with the SEC and other international regulatory bodies, in collaboration with operations and finance teams
  • Enhance and maintain effective trade surveillance program to ensure compliance with relevant legal and regulatory requirements as well as internal allocation policies and procedures
  • Coordinate compliance training initiatives and materials for employees globally
  • Responsible for periodic compliance testing and reviews to ensure policies and procedures are working effectively


Requirements

  • Bachelor’s degree required. Post graduate degree (JD or MBA) a plus but not required
  • 8+ years of compliance related work experience
  • Solid knowledge of relevant SEC regulatory requirements related to the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934 and the rules and regulation thereunder



  • new york city, United States Addison Group Full time

    Well-established client of Addison Group's in the healthcare nonprofit industry seeks Director of Compliance for office location in New York, NY. Candidates must live within commutable distance as this role will require in-office presence, Monday-Friday. Responsibilities include-Ensure implementation of all policies and procedures related to Federal and...


  • new york city, United States Addison Group Full time

    Well-established client of Addison Group's in the healthcare nonprofit industry seeks Director of Compliance for office location in New York, NY. Candidates must live within commutable distance as this role will require in-office presence, Monday-Friday. Responsibilities include-Ensure implementation of all policies and procedures related to Federal and...

  • Compliance Director

    3 weeks ago


    New York, New York, United States Northwest Real Estate Capital Corporation Full time

    Job Title: Compliance DirectorAt Northwest Real Estate Capital Corporation, we are seeking a highly skilled Compliance Director to join our team. As a key member of our organization, you will be responsible for ensuring that our portfolio-wide compliance with all governing programs, regulations, and statutes is maintained.Key Responsibilities:Lead the...

  • Compliance Director

    4 weeks ago


    New York, New York, United States Social Capital Resources Full time

    Compliance Director Opportunity at Social Capital ResourcesAbout the Role:We are seeking a seasoned Compliance Director to join our team at Social Capital Resources, a top-tier investment management company in Midtown, Manhattan. As a key member of our compliance team, you will be responsible for developing, maintaining, and implementing a comprehensive...


  • New York, New York, United States The Educational Alliance Full time

    Educational Alliance is seeking a highly skilled Compliance Associate Director to join our team.The ideal candidate will have a strong background in compliance and risk management, with a proven track record of ensuring regulatory compliance and implementing effective risk management strategies.The Compliance Associate Director will be responsible for...


  • New York, New York, United States Kroll Full time

    Director of NFA ComplianceWe are seeking a highly skilled Director of NFA Compliance to join our team at Kroll. As a Director, you will provide expert guidance to asset management firms in managing their NFA compliance programs. Your responsibilities will include guiding new members through the NFA registration process, developing and implementing customized...


  • New York, United States Addison Group Full time

    Well-established client of Addison Group's in the healthcare nonprofit industry seeks Director of Compliance for office location in New York, NY. Candidates must live within commutable distance as this role will require in-office presence, Monday-Friday. Responsibilities include-Ensure implementation of all policies and procedures related to Federal and...


  • New York, New York, United States The Goodkind Group Full time

    Job Profile SummaryThe primary objective of the Regulatory and Accreditation Program is to promote safe, high-quality, and effective patient care through maintaining accreditation, certification, and licensure compliance.The Regulatory Director is responsible for developing and leading a comprehensive regulatory survey readiness program in support of the...


  • New York, New York, United States The Educational Alliance Full time

    Educational Alliance seeks a highly skilled Compliance Associate Director to join our team. The ideal candidate will be responsible for monitoring compliance standards of the Center for Recovery Wellness (CRW) residential and outpatient components.The Compliance Associate Director will oversee the adherence to all relevant regulations and lead quality...

  • Compliance Director

    4 weeks ago


    New York, New York, United States New York Kids Club Full time

    Job DescriptionAbout UsNew York Kids Club is a leading provider of early childhood education and private enrichment classes. Our approach inspires each child's inherent love of learning in a fun and energetic environment.Job SummaryThe Compliance Director is responsible for ensuring that all organizational operations adhere to local, state, and federal...


  • New York, New York, United States The Educational Alliance Full time

    Job Title: Compliance Associate DirectorEducational Alliance is seeking a highly skilled Compliance Associate Director to join our team. As a key member of our compliance department, you will be responsible for monitoring compliance standards of the Center for Recovery Wellness (CRW) residential and outpatient components.The ideal candidate will have a...


  • New York, New York, United States Association of National Advertisers Full time

    Job DescriptionThe Association of National Advertisers is seeking a highly skilled Director, Benefits Administration to join our team. As a key member of our HR department, you will be responsible for implementing best practice HR processes, standards, and programs in the areas of employee benefits, compensation administration, HRIS, reporting, and...


  • New York, New York, United States SimiTree Full time

    Senior Director of Administration and Compliance OpportunitySimiTree is seeking a seasoned leader to oversee administrative functions, facility management, and regulatory compliance for our multi-site Home Care organization. The ideal candidate will have Home Health and/or Private Duty Home Care operational leadership experience and a strong background in...


  • Iowa City, Iowa, United States The University Of Iowa Full time

    Job Summary:The University of Iowa Department of Athletics seeks a highly skilled Compliance Assistant Director to join their team. This is a full-time position that includes full University benefits. The University of Iowa is an NCAA Division I institution and a member of the Big Ten Conference.Responsibilities:Provide assistance to the Associate Athletics...


  • New York City, United States MetroPlusHealth Full time

    Empower. Unite. Care.MetroPlusHealth is committed to empowering New Yorkers by uniting communities through care. We believe that Health care is a right, not a privilege. If you have compassion and a collaborative spirit, work with us. You can come to work being proud of what you do every day.About NYC Health + HospitalsMetroPlusHealth provides the highest...


  • New York, New York, United States MetroPlusHealth Full time

    Job Title: Director of Regulatory Compliance OperationsMetroPlusHealth is committed to empowering New Yorkers by uniting communities through care. We believe that healthcare is a right, not a privilege. If you have compassion and a collaborative spirit, work with us.About the RoleAs Director of Regulatory Compliance Operations, you will oversee our...


  • New York, United States Brains Workgroup, Inc. Full time

    Our client, a major bank in New York City, is looking for talented Regulatory & Compliance Integration Lead, Director Level.Permanent position with competitive compensation package (base is 160-220K), excellent benefits, and target bonus.This is hybrid commute position with up to 2 days per week in the office.Regulatory & Compliance Integration...

  • Compliance Director

    4 weeks ago


    New York, New York, United States IDEX Consulting Full time

    Compliance Director Job DescriptionWe are partnering with a dynamic, PE-backed international MGA seeking an experienced Compliance Director to lead and shape our compliance function during an exciting period of growth and transformation.Key Responsibilities:M&A Leadership: Drive compliance due diligence and integration for mergers and acquisitions, ensuring...


  • new york city, United States Social Capital Resources Full time

    Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!Responsibilities:Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment productsProvide technical guidance and expertise, promote examination...


  • new york city, United States Social Capital Resources Full time

    Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!Responsibilities:Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment productsProvide technical guidance and expertise, promote examination...