Support senior team members in development of the compliance program for 40 Act and 33 Act funds, including providing support for new product development and digital assets initiatives.
Support and partner with portfolio management, capital markets, trading and fund administration functions in all aspects with touchpoint to fund compliance.
Implement compliance programs/control frameworks relevant to regulatory risks and legal requirements, including development of policies and procedures and the associated testing program.
Support digital assets and tokenization initiatives across the fund platform.
Participation in special projects and strategic initiatives.

At least 10 years of relevant experience from a law firm or a legal and compliance department of a leading investment management/financial services organization.
Experience with the Investment Company Act of 1940 is preferred.
Experience drafting policies and procedures to be used by investment professionals.
Familiarity with compliance related software and applications.
Strong writing and verbal communication skills.
Strong risk focus and attention to detail.
Strong organizational skills and ability to manage multiple time sensitive matters in a demanding, fast-paced and fluid environment.
Business and solution-oriented approach to interacting and working with key business partners is critical for this role.
Expertise in affiliation and fund of funds rules is preferred.
Bachelor’s degree required; law degree or M.B.A. welcome.

Director, 1940 Act Compliance

Key skills