the client is seeking a Lead Compliance Programs professional to support the Chief Compliance Officer in designing and managing compliance programs for affiliated registered investment advisers. The role will help shape advisory compliance strategy across complex product platforms and serve as a key advisor to investment, product, legal, distribution, and operations teams on compliance considerations for new business initiatives and product development.
Key responsibilities include cultivating a strong compliance culture by driving awareness of regulatory expectations and encouraging early integration of compliance perspectives. The role will draft, review, and enhance policies and procedures aligned with the Investment Advisers Act and other applicable regulations, prepare required regulatory filings and documentation, and oversee periodic compliance risk assessments while contributing to mitigation plans. It will also support regulatory examinations, inquiries, and related responses.
The successful applicant will bring a bachelor’s degree with an MBA preferred, along with substantial compliance experience in the asset management industry and strong expertise in the Investment Advisers Act. Experience with alternatives or complex investment strategies is advantageous. The role requires strong communication skills to engage senior executives and regulators, the ability to independently evaluate regulatory questions and propose practical, risk-aligned solutions, and strong organizational, analytical, and project-management capabilities to manage competing priorities across multiple affiliated business lines.