The investment management division of a diversified financial firm seeks a Compliance Manager/Deputy Director of Compliance.


You should have a minimum of 5 -7 years of compliance experience with an emphasis on asset management, RIA, or mutual funds. After a year or so, there will be an opportunity for a promotion to Deputy Compliance Officer, who will sit right next to the Chief Compliance Officer.


Job Responsibilities:

  • Coordinate with CCO and designees to provide assistance in managing, developing and implementing corrective action to address compliance matters.
  • Identify and communicate compliance deficiencies and potential problems.
  • Review forms and disclosures to comply with applicable compliance laws, rules and regulations.
  • Assist in reviewing proposed changes to and existing policies and procedures relative to the compliance requirements of laws and regulations.
  • Assist in Managing the Compliance Risk Assessment process.
  • Prepare documents which provide an adequate level of support for the audit work performed, conclusions reached and compliance related issues. Draft audit documents in a pertinent, concise and accurate manner.
  • Obtains and evaluates responses to audit issues to ensure appropriate corrective action is taken.
  • Assists in Training staff on compliance regulations as needed.
  • Exhibits superior time management skills – measured by deadlines and quality of progress and projects completed
  • Develops and maintains rapport will the staff and management in order to effectively obtain and communicate compliance information.
  • Conducts quarterly updates and reviews of sales/marketing materials, including fact sheets, presentations, prospecting kits, RFPs, and questionnaires
  • Reviews advertising, marketing, and other communications (including videos, websites and social media)



  • Bachelor’s or Master’s degree in Finance, Business, Economics, Criminal Justice (or similar).
  • JD (law degree) is a plus.
  • Minimum of 5 years of compliance experience.
  • Have strong oral and written communication skills.
  • Be dependable, flexible and adaptable to changing needs.
  • Be able to work independently in a fast paced small team environment.
  • Multi-task and prioritize effectively, demonstrate strong organizational and problem solving skills with attention to detail and work effectively as a team member.
  • Candidates should also be highly motivated


Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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