My client, a leading asset management firm based in Midtown is looking for a Director, 1940 Act / 33 Act Compliance professional. This person will be responsible for overseeing the compliance framework for registered investment products, including mutual funds, ETFs, closed-end funds, and other Securities Act registered offerings.
Key Responsibilities
- Lead and enhance the compliance program for 1940 Act and 33 Act products, including policies, procedures, controls, and testing.
- Advise on new fund launches, product changes, and regulatory filings, including ETFs and other registered products.
- Partner with portfolio management, trading, capital markets, operations, and fund administration on day-to-day compliance matters.
- Oversee review of marketing, disclosure, shareholder communications, and fund documentation for compliance issues.
- Monitor regulatory developments and translate them into practical policies, controls, and training.
- Support board materials, compliance reporting, and annual program reviews where applicable.
- Identify and elevate compliance risks, remediation items, and control gaps.
- Coordinate with internal and external counsel, auditors, administrators, and regulators as needed.
Required Qualifications
- Bachelor’s degree required; JD, MBA, or equivalent advanced degree preferred.
- 8–12+ years of compliance, legal, regulatory, or operational experience in asset management or financial services.
- Strong knowledge of the Investment Company Act of 1940 and the Securities Act of 1933.
Director, 1940 Act Compliance in new york at Unknown Company
This position is listed as full time and onsite.